Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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-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-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-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-2003-192 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2002-100 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-109 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-194 | Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-018 | Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws |
| SR-NASD-2002-012 | Proposed Rule Change to Subordination Agreement Requirements |
| SR-FINRA-2008-009 | Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements |
| SR-FINRA-2011-012 | Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE) |
| SR-FINRA-2010-066 | Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations) |
| SR-FINRA-2010-010 | Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150 |