Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2010-045 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2010-044 Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2010-043 Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
SR-FINRA-2010-042 Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
SR-FINRA-2010-041 Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
SR-FINRA-2010-040 Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution)
SR-FINRA-2010-039 Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
SR-FINRA-2010-038 Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
SR-FINRA-2010-037 Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
SR-FINRA-2010-036 Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
SR-FINRA-2010-035 Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes
SR-FINRA-2010-034 Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-033 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
SR-FINRA-2010-032 Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities
SR-FINRA-2010-031 Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) as Part of their New Membership Application
SR-FINRA-2010-030 Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRARulebook
SR-FINRA-2010-029 Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
SR-FINRA-2010-028 Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-027 Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
SR-FINRA-2010-026 Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
SR-FINRA-2010-025 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
SR-FINRA-2010-024 Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
SR-FINRA-2010-023 Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
SR-FINRA-2010-022 Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
SR-FINRA-2010-021 Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device

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