Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2002-162 Proposed Supervisory Control Amendments
SR-FINRA-2013-042 Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SR-FINRA-2015-041 Proposed Rule to Establish Fees for Funding Portals
SR-FINRA-2008-014 Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2008-036 Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2016-029 Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
SR-NASD-1998-011 Proposed Rule Relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information
SR-NASD-1998-029 Proposed Rule Relating to Standards for Individual Correspondence
SR-NASD-1998-014 Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts
SR-NASD-1998-028 Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts
SR-NASD-1998-035 Proposed Rule Relating to Books and Records
SR-NASD-2003-140 Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
SR-FINRA-2009-023 Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook
SR-FINRA-2018-003 Proposed Rule Filing Relating to Simplified Arbitration
SR-NASD-1998-032 Proposed Rule Excluding Research Reports from Filing Requirements
SR-FINRA-2009-072 Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected
SR-FINRA-2008-031 Proposed Rule Change will Amend the Uniform Submission Agreement
SR-FINRA-2015-007 Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
SR-FINRA-2017-022 Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
SR-FINRA-2013-053 Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
SR-FINRA-2011-030 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2012-007 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-065 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2008-057 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2009-046 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules

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