Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2008-010 Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
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-2008-008 Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-FINRA-2008-007 Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
SR-FINRA-2008-006 Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
SR-FINRA-2008-005 Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
SR-FINRA-2008-004 Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
SR-FINRA-2008-003 Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
SR-FINRA-2008-002 Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-FINRA-2008-001 Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws
SR-FINRA-2007-042 Proposed Rule Change to Amend Rule 12302 of the Customer Code and Rule 13302 of the Industry Code to Remove the Page Limit on Statements of Claim Filed through the Online Arbitration Claim Filing System
SR-FINRA-2007-041 Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shared with FINRA/Nasdaq TRF Participants
SR-FINRA-2007-040 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
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-2007-038 Proposed Rule Change to Delay the Final Implementation Date of the Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-037 Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations
SR-FINRA-2007-036 Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms
SR-FINRA-2007-035 Proposed Amendments to Options Supervision Requirements
SR-FINRA-2007-034 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
SR-FINRA-2007-033 Revisions to the Series 82 Examination Program
SR-FINRA-2007-032 Revisions to the Series 72 Examination Program
SR-FINRA-2007-031 Revisions to the Series 62 Examination Program
SR-FINRA-2007-030 Revisions to the Series 55 Examination Program
SR-FINRA-2007-029 Revisions to the Series 42 Examination Program
SR-FINRA-2007-028 Revisions to the Series 24 Examination Program

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