Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2011-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2011-049 Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2011-048 Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2011-047 Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2011-046 Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2011-045 Proposed Rule Change to Revise the Series 7 Examination Program
SR-FINRA-2011-044 Proposed Rule Change to Amend FINRA's Code of Procedure
SR-FINRA-2011-043 Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
SR-FINRA-2011-042 Proposed Rule Change Relating to Fee for the Operations Professional Examination
SR-FINRA-2011-041 Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
SR-FINRA-2011-040 Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-039 Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2011-038 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-037 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-036 Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust
SR-FINRA-2011-035 Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
SR-FINRA-2011-034 Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2011-033 Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2011-032 Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
SR-FINRA-2011-031 Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
SR-FINRA-2011-030 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-029 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2011-028 Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
SR-FINRA-2011-027 Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
SR-FINRA-2011-026 Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions

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