Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2016-019 Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2016-018 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
SR-FINRA-2016-017 Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-016 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2016-015 Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
SR-FINRA-2016-014 Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
SR-FINRA-2016-013 Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-012 Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares))
SR-FINRA-2016-011 Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SR-FINRA-2016-010 Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
SR-FINRA-2016-009 Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2016-008 Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-007 Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
SR-FINRA-2016-006 Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
SR-FINRA-2016-005 Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
SR-FINRA-2016-004 Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
SR-FINRA-2016-003 Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator
SR-FINRA-2016-002 Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
SR-FINRA-2016-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2015-059 Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
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

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