Rule Filings

Rule Filing Number Titlesort descending
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
SR-FINRA-2007-013 Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements)
SR-NASD-2005-093 Proposed Rule Change Relating to Amendments to NASD Rule 3370
SR-FINRA-2008-042 Proposed Rule Change Relating to Amendments to Portolio Margin
SR-NASD-2005-121 Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013
SR-FINRA-2011-063 Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
SR-FINRA-2013-021 Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
SR-FINRA-2016-033 Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SR-FINRA-2013-054 Proposed Rule Change Relating to Capacity Management Plan
SR-FINRA-2017-027 Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
SR-NASD-2007-040 Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades
SR-FINRA-2013-022 Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SR-FINRA-2007-018 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues
SR-FINRA-2007-034 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
SR-FINRA-2018-021 Proposed Rule Change Relating to District Committee Structure and Governance
SR-FINRA-2017-013 Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SR-FINRA-2008-040 Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data
SR-FINRA-2011-073 Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
SR-FINRA-2012-053 Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2011-051 Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2012-016 Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2015-016 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2011-029 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2010-046 Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
SR-FINRA-2008-003 Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility

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