Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2017-032 Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
SR-FINRA-2007-036 Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms
SR-FINRA-2017-036 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2018-041 Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2007-009 Proposed Rule Change to Modernize and Simplify NASD Rule 2720
SR-FINRA-2010-011 Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2012-032 Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
SR-FINRA-2016-037 Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility
SR-FINRA-2010-068 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-013 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2016-011 Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SR-FINRA-2014-046 Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
SR-FINRA-2013-009 Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-NASD-2007-006 Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710
SR-NASD-2003-019 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2002-145 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2002-103 Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2)
SR-FINRA-2008-008 Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-NASD-2002-027 Proposed Rule Change to NASD Rule 3070
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2002-134 Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860
SR-FINRA-2010-057 Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
SR-FINRA-2016-043 Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements

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