Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) 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-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
SR-FINRA-2018-003 Proposed Rule Filing Relating to Simplified Arbitration
SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
SR-FINRA-2018-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2017-036 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2017-035 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2017-034 Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2017-033 Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
SR-FINRA-2017-032 Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
SR-FINRA-2017-031 Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2017-030 Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
SR-FINRA-2017-029 Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2017-028 Proposed Rule Change to Implement a New Electronic Form 211
SR-FINRA-2017-027 Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
SR-FINRA-2017-026 Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
SR-FINRA-2017-025 Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
SR-FINRA-2017-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

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