Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2018-035
Proposed Rule Change to Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions - New
SR-FINRA-2018-034
Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds - Updated
SR-FINRA-2018-033 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
SR-FINRA-2018-032 Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
SR-FINRA-2018-031 Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
SR-FINRA-2018-030 Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
SR-FINRA-2018-029 Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
SR-FINRA-2018-028 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-027 Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations
SR-FINRA-2018-026 Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
SR-FINRA-2018-025 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2018-024 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-023 Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
SR-FINRA-2018-022 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2018-021 Proposed Rule Change Relating to District Committee Structure and Governance
SR-FINRA-2018-020 Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
SR-FINRA-2018-019 Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-FINRA-2018-018 Proposed Rule Change Relating to Statutory Disqualification Application Fees
SR-FINRA-2018-017 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2018-016 Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SR-FINRA-2018-015 Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
SR-FINRA-2018-014 Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
SR-FINRA-2018-013 Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination

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