Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2011-041 Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
SR-FINRA-2011-040 Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-039 Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2011-038 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-037 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-036 Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust
SR-FINRA-2011-035 Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
SR-FINRA-2011-034 Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2011-033 Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2011-032 Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
SR-FINRA-2011-031 Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
SR-FINRA-2011-030 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-029 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2011-028 Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
SR-FINRA-2011-027 Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
SR-FINRA-2011-026 Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
SR-FINRA-2011-025 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2011-023 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
SR-FINRA-2011-021 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-020 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-019 Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
SR-FINRA-2011-018 Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2011-017 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2011-016 Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)

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