Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2016-037 Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility
SR-FINRA-2010-013 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-068 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2016-011 Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SR-FINRA-2014-046 Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
SR-FINRA-2013-009 Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-NASD-2007-006 Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710
SR-NASD-2003-019 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2002-145 Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260)
SR-NASD-2002-103 Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2)
SR-FINRA-2008-008 Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-NASD-2002-027 Proposed Rule Change to NASD Rule 3070
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2002-134 Proposed Rule Change to Option Position and Exercise Limits; NASD Rule 2860
SR-FINRA-2010-057 Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
SR-FINRA-2016-043 Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
SR-FINRA-2010-009 Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2011-001 Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
SR-NASD-2005-043 Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons
SR-NASD-2005-022 Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports
SR-NASD-2006-101 Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas.
SR-NASD-2005-052 Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing
SR-FINRA-2016-015 Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons

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