Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-1997-077 | Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims |
| SR-NASD-1998-003 | Proposed Rule Change to Rule 1120 |
| SR-NASD-1998-020 | Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions |
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB |
| SR-NASD-1998-034 | Proposed Rule Change to Rule 9514 |
| SR-NASD-2005-067 | Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB") |
| SR-NASD-2003-109 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-192 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2002-100 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-194 | Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-018 | Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws |
| SR-NASD-2002-012 | Proposed Rule Change to Subordination Agreement Requirements |
| SR-FINRA-2008-009 | Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements |
| SR-FINRA-2011-012 | Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE) |
| SR-FINRA-2010-066 | Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations) |
| SR-FINRA-2010-010 | Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150 |
| SR-FINRA-2010-023 | Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule |
| SR-FINRA-2010-060 | Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2009-062 | Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules |
| SR-FINRA-2009-078 | Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules |
| SR-FINRA-2013-001 | Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws |
| SR-FINRA-2012-027 | Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules |
| SR-FINRA-2011-054 | Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) |
| SR-FINRA-2011-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules |
| SR-FINRA-2015-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |