Rule Filings

Rule Filing Numbersort ascending Title
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
SR-FINRA-2007-018 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues
SR-FINRA-2007-017 Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA
SR-FINRA-2007-016 Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
SR-FINRA-2007-015 Proposed Rule Change to Amend NASD Rules 4632E, 6130E, 6140E and 6160E
SR-FINRA-2007-014 Proposed Rule Change to Amend NASD Interpretative Material 2210-4
SR-FINRA-2007-013 Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements)
SR-FINRA-2007-012 Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
SR-FINRA-2007-011 Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472
SR-FINRA-2007-010 Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02
SR-FINRA-2007-009 Proposed Rule Change to Modernize and Simplify NASD Rule 2720
SR-FINRA-2007-008 Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1)
SR-FINRA-2007-007 Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements
SR-FINRA-2007-006 Proposed Rule Change Regarding Historic TRACE Data
SR-FINRA-2007-005 Proposed Rule Change to Amend NASD Rule 11870 and New York Stock Exchange Rule 412
SR-FINRA-2007-004 Proposed Rule Change to Amend NASD Rules 1021 and 1031 Regarding Registration Requirements
SR-FINRA-2007-003 Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130

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