Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2014-015 Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-014 Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-013 Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SR-FINRA-2014-012 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
SR-FINRA-2014-011 Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
SR-FINRA-2014-010 Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SR-FINRA-2014-009 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
SR-FINRA-2014-008 Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SR-FINRA-2014-007 Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
SR-FINRA-2014-006 Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs
SR-FINRA-2014-005 Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
SR-FINRA-2014-004 Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
SR-FINRA-2014-003 Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules
SR-FINRA-2014-002 Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2014-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2013-056 Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials)
SR-FINRA-2013-055 Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits
SR-FINRA-2013-054 Proposed Rule Change Relating to Capacity Management Plan
SR-FINRA-2013-053 Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
SR-FINRA-2013-052 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2013-051 Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
SR-FINRA-2013-050 Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
SR-FINRA-2013-049 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2013-048 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
SR-FINRA-2013-047 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes

Pages