Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-2004-160 | Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2006-050 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2003-067 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2007-033 | Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program |
| SR-NASD-2005-061 | Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program |
| SR-FINRA-2009-034 | Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program |
| SR-FINRA-2013-038 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2012-047 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2011-002 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-072 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-025 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-NASD-2003-181 | Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants |
| SR-FINRA-2019-004 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2018-043 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-NASD-2005-146 | Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule") |
| SR-FINRA-2011-061 | Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions |
| SR-FINRA-2015-020 | Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs |
| SR-NASD-2006-076 | Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350) |
| SR-FINRA-2015-017 | Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories |
| SR-NASD-2005-080 | Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions |
| SR-FINRA-2008-006 | Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C |
| SR-FINRA-2007-039 | Proposed Rule Change to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 and Rule 2111 |
| SR-FINRA-2015-044 | Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57) |
| SR-FINRA-2015-031 | Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”) |
| SR-FINRA-2011-013 | Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook |