Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2012-016 Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2012-015 Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-014 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-012 Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
SR-FINRA-2012-011 Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster
SR-FINRA-2012-010 Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-FINRA-2012-009 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
SR-FINRA-2012-008 Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities.
SR-FINRA-2012-007 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2012-006 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2012-005 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2012-004 Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-003 Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
SR-FINRA-2012-001 Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting)
SR-FINRA-2011-075 Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code
SR-FINRA-2011-074 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2011-073 Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
SR-FINRA-2011-072 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-071 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-070 Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2011-069 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
SR-FINRA-2011-068 Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses)
SR-FINRA-2011-067 Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration
SR-FINRA-2011-066 Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
SR-FINRA-2011-065 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules

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