Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2018-017
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 - New
SR-FINRA-2018-016
Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions - New
SR-FINRA-2018-015
Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent - New
SR-FINRA-2018-014
Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities - New
SR-FINRA-2018-013
Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. - New
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
SR-FINRA-2018-003 Proposed Rule Filing Relating to Simplified Arbitration
SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
SR-FINRA-2018-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2017-036 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2017-035 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2017-034 Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2017-033 Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
SR-FINRA-2017-032 Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
SR-FINRA-2017-031 Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2017-030 Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
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

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