Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-FINRA-2018-006 | Proposed Rule Change to Revise the Operations Professional (Series 99) Examination |
| SR-FINRA-2014-040 | Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 |
| SR-FINRA-2018-011 | Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination |
| SR-FINRA-2018-005 | Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations |
| SR-FINRA-2018-010 | Proposed Rule Change to Revise the Securities Trader (Series 57) Examination |
| SR-FINRA-2013-032 | Proposed Rule Change to Revise the Series 16 Examination Program |
| SR-FINRA-2011-046 | Proposed Rule Change to Revise the Series 17 Examination Program |
| SR-FINRA-2014-034 | Proposed Rule Change to Revise the Series 23 Examination Program |
| SR-FINRA-2014-035 | Proposed Rule Change to Revise the Series 24 Examination Program |
| SR-FINRA-2014-015 | Proposed Rule Change to Revise the Series 26 Examination Program |
| SR-FINRA-2011-047 | Proposed Rule Change to Revise the Series 37 Examination Program |
| SR-FINRA-2011-048 | Proposed Rule Change to Revise the Series 38 Examination Program |
| SR-FINRA-2015-018 | Proposed Rule Change to Revise the Series 4 Examination Program |
| SR-FINRA-2013-028 | Proposed Rule Change to Revise the Series 55 Examination Program |
| SR-FINRA-2013-045 | Proposed Rule Change to Revise the Series 6 Examination Program |
| SR-FINRA-2011-045 | Proposed Rule Change to Revise the Series 7 Examination Program |
| SR-NASD-2003-057 | Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) |
| SR-NASD-2002-005 | Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) |
| SR-NASD-1997-077 | Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims |
| SR-NASD-1998-003 | Proposed Rule Change to Rule 1120 |
| SR-NASD-1998-020 | Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions |
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB |
| SR-NASD-1998-034 | Proposed Rule Change to Rule 9514 |
| SR-NASD-2005-067 | Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB") |
| SR-NASD-2003-109 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |