Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2010-005 Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
SR-FINRA-2011-062 Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
SR-FINRA-2011-019 Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
SR-FINRA-2010-043 Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
SR-NASD-2006-104 Proposed Rule Change to Reflect the Complete Separation of Nasdaq from NASD upon the Operation of Nasdaq as a National Securities Exchange for All Exchange-Listed Securities
SR-FINRA-2007-016 Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
SR-FINRA-2008-066 Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
SR-FINRA-2008-002 Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-NASD-2005-087 Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange
SR-FINRA-2016-005 Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
SR-FINRA-2010-051 Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR-FINRA-2016-015 Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing
SR-NASD-2006-101 Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR-NASD-2005-022 Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports
SR-NASD-2005-043 Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons
SR-FINRA-2011-001 Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
SR-FINRA-2010-009 Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
SR-FINRA-2016-043 Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
SR-FINRA-2010-057 Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
SR-NASD-2002-134 Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2002-027 Proposed Rule Change to NASD Rule 3070

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