Rule Filings

Rule Filing Numbersort ascending Title
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
SR-FINRA-2007-027 Revisions to the Series 23 Examination Program
SR-FINRA-2007-026 Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data
SR-FINRA-2007-025 Proposed Rule Change to Amend FINRA's NYSE Rules 421, 440F and 440G to Conform with Changes by the NYSE to its Versions of Rules 421, 440F and 440G
SR-FINRA-2007-024 Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
SR-FINRA-2007-023 Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-022 Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations
SR-FINRA-2007-021 The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-FINRA-2007-020 Proposed Rule Change to Amend NASD Rule 2210 to Create an Exception from the Principal Approval Requirements for Certain Filed Sales Material
SR-FINRA-2007-019 Proposed Rule Change to Amend the Definition of Member Organization in FINRA NYSE Rule 2

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