Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2015-058 Proposed Rule Change Relating to the Series 9/10 Examination Program
SR-FINRA-2015-057 Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers
SR-FINRA-2015-056 Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
SR-FINRA-2015-055 Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
SR-FINRA-2015-054 Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
SR-FINRA-2015-053 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-052 Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
SR-FINRA-2015-051 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2015-049 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-048 Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
SR-FINRA-2015-047 Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2015-046 Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
SR-FINRA-2015-045 Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2015-044 Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-043 Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
SR-FINRA-2015-042 Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-041 Proposed Rule to Establish Fees for Funding Portals
SR-FINRA-2015-040 Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
SR-FINRA-2015-039 Proposed Rule Change Relating to the Series 28 Examination Program
SR-FINRA-2015-038 Proposed Rule Change Relating to the Series 27 Examination Program
SR-FINRA-2015-037 Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2015-036 Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
SR-FINRA-2015-035 Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.

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