Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2011-074 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-NASD-2006-069 Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals.
SR-NASD-2006-134 Proposed Rule Change Extending the Pilot Relating to the Price-Improvement Standards for Decimalized Securities in IM-2110-2
SR-NASD-2007-045 Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g)
SR-FINRA-2011-026 Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
SR-FINRA-2007-007 Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements
SR-NASD-2003-069 Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR-FINRA-2007-006 Proposed Rule Change Regarding Historic TRACE Data
SR-NASD-2002-180 Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts
SR-NASD-2003-074 Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR-FINRA-2012-036 Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
SR-FINRA-2009-057 Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
SR-FINRA-2009-006 Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
SR-NASD-2007-011 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
SR-NASD-2006-115 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
SR-NASD-2006-108 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
SR-FINRA-2010-038 Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
SR-FINRA-2011-049 Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2013-052 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2016-002 Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
SR-NASD-2006-070 Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions
SR-NASD-2007-047 Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-FINRA-2009-032 Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
SR-FINRA-2014-004 Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
SR-FINRA-2013-027 Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options

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