Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2011-055 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-021 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-NASD-2007-009 Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
SR-FINRA-2009-056 Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
SR-FINRA-2011-042 Proposed Rule Change Relating to Fee for the Operations Professional Examination
SR-FINRA-2013-019 Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2016-032 Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
SR-FINRA-2018-016 Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SR-FINRA-2012-024 Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2013-017 Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2013-006 Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
SR-FINRA-2013-018 Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
SR-FINRA-2010-014 Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
SR-FINRA-2010-048 Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
SR-FINRA-2009-022 Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2012-029 Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
SR-FINRA-2012-023 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-020 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-071 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2014-051 Proposed Rule Change Relating to In Concert Reporting of Options Positions
SR-FINRA-2008-056 Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
SR-FINRA-2015-046 Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
SR-FINRA-2009-012 Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit Default Swaps
SR-NASD-2000-011 Proposed Rule Change Relating to Mediation Fee Structure
SR-FINRA-2013-026 Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)

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