Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-FINRA-2009-093 | Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook |
| SR-NASD-2004-175 | Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO |
| SR-FINRA-2009-087 | Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook |
| SR-NASD-2005-124 | Proposed Rule Change to Repeal Rule 6440(f) |
| SR-FINRA-2012-048 | Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019 |
| SR-FINRA-2015-026 | Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down |
| SR-FINRA-2013-013 | Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution |
| SR-FINRA-2009-061 | Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution |
| SR-FINRA-2012-052 | Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission |
| SR-FINRA-2016-007 | Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies |
| SR-NASD-2005-070 | Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration |
| SR-FINRA-2009-077 | Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities |
| SR-NASD-2005-079 | Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances |
| SR-FINRA-2018-009 | Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination |
| SR-NASD-2007-019 | Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules |
| SR-FINRA-2018-008 | Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination |
| SR-FINRA-2014-044 | Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025 |
| SR-NASD-2007-020 | Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e) |
| SR-FINRA-2018-004 | Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination |
| SR-FINRA-2018-007 | Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination |
| SR-FINRA-2018-006 | Proposed Rule Change to Revise the Operations Professional (Series 99) Examination |
| SR-FINRA-2014-040 | Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 |
| SR-FINRA-2018-011 | Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination |
| SR-FINRA-2018-005 | Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations |
| SR-FINRA-2018-010 | Proposed Rule Change to Revise the Securities Trader (Series 57) Examination |