Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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 |
| SR-FINRA-2013-032 | Proposed Rule Change to Revise the Series 16 Examination Program |
| SR-FINRA-2011-046 | Proposed Rule Change to Revise the Series 17 Examination Program |
| SR-FINRA-2014-034 | Proposed Rule Change to Revise the Series 23 Examination Program |
| SR-FINRA-2014-035 | Proposed Rule Change to Revise the Series 24 Examination Program |
| SR-FINRA-2014-015 | Proposed Rule Change to Revise the Series 26 Examination Program |
| SR-FINRA-2011-047 | Proposed Rule Change to Revise the Series 37 Examination Program |
| SR-FINRA-2011-048 | Proposed Rule Change to Revise the Series 38 Examination Program |
| SR-FINRA-2015-018 | Proposed Rule Change to Revise the Series 4 Examination Program |
| SR-FINRA-2013-028 | Proposed Rule Change to Revise the Series 55 Examination Program |