Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2010-017 Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SR-FINRA-2010-016 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-015 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-014 Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
SR-FINRA-2010-013 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-012 Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2010-011 Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2010-010 Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
SR-FINRA-2010-009 Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2010-008 Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
SR-FINRA-2010-007 Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
SR-FINRA-2010-006 Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration
SR-FINRA-2010-005 Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
SR-FINRA-2010-004 Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
SR-FINRA-2010-003 Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
SR-FINRA-2010-002 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2010-001 Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
SR-FINRA-2009-095 Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
SR-FINRA-2009-094 Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2009-093 Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2009-092 Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
SR-FINRA-2009-090 Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
SR-FINRA-2009-089 Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
SR-FINRA-2009-088 Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2009-087 Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook

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