Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2019-008 Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2008-043 Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
SR-NASD-2007-056 Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-NASD-2006-128 Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340
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-FINRA-2015-031 Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
SR-FINRA-2015-044 Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
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-2008-006 Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
SR-NASD-2005-080 Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions
SR-FINRA-2015-017 Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
SR-NASD-2006-076 Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350)
SR-FINRA-2015-020 Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
SR-FINRA-2019-019 Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
SR-FINRA-2011-061 Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-NASD-2005-146 Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule")
SR-FINRA-2019-004 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2018-043 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-NASD-2003-181 Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR-FINRA-2011-002 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-072 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-025 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2013-038 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2012-047 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)

Pages