Rule Filings

Rule Filing Numbersort ascending Title
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
SR-FINRA-2007-002 Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-FINRA-2007-001 Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements
SR-NASD-2007-057 Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
SR-NASD-2007-056 Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-NASD-2007-055 Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan
SR-NASD-2007-054 Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
SR-NASD-2007-053 Proposed Rule Change to Amend the Restated Certificate of Incorporation of NASD to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. and to Conform the Certificate to the Amended NASD By-Laws
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2007-051 Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility

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