Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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 |
| SR-FINRA-2014-013 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities |
| SR-FINRA-2013-041 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 |
| SR-FINRA-2013-012 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan |
| SR-NASD-2003-067 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| 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-2004-012 | 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-2011-072 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-025 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-002 | 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-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-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-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-2019-019 |
Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website - Updated |
| 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 |