Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2007-039 Proposed Rule Change to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 and Rule 2111
SR-FINRA-2015-044 Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-031 Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
SR-FINRA-2011-013 Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
SR-NASD-2006-128 Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340
SR-NASD-2007-056 Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-FINRA-2008-043 Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
SR-FINRA-2019-008 Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2008-050 Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
SR-FINRA-2016-048 Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
SR-FINRA-2011-009 Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
SR-FINRA-2012-043 Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
SR-FINRA-2013-011 Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2015-008 Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
SR-FINRA-2014-039 Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
SR-FINRA-2014-022 Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
SR-FINRA-2012-003 Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
SR-NASD-2007-042 Proposed Rule Change to Delay the Implementation Date of IM 2210-4, Which Requires Certain Member Firms to Provide a Hyperlink to www.nasd.com
SR-FINRA-2013-004 Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
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-2011-016 Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
SR-FINRA-2017-029 Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2007-038 Proposed Rule Change to Delay the Final Implementation Date of the Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2010-058 Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043

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