Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2012-004 Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2016-003 Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator
SR-FINRA-2019-005 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2018-017 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-NASD-2006-120 Proposed Rule Change to Extend the Hours of Operations of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities under the Rule 6400 Series
SR-FINRA-2015-005 Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
SR-FINRA-2019-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-056 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2016-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2014-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2015-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2017-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2018-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-006 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-015 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-038 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2012-037 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2013-010 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2010-064 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2016-034 Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
SR-NASD-2006-118 Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business
SR-FINRA-2012-055 Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
SR-FINRA-2009-092 Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
SR-FINRA-2019-011 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-NASD-2005-152 Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2

Pages