Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2011-025 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2011-023 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
SR-FINRA-2011-021 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-020 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-019 Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
SR-FINRA-2011-018 Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2011-017 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2011-016 Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
SR-FINRA-2011-015 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-014 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-013 Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2011-012 Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
SR-FINRA-2011-011 Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance
SR-FINRA-2011-009 Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
SR-FINRA-2011-008 Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SR-FINRA-2011-007 Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
SR-FINRA-2011-006 Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice
SR-FINRA-2011-005 Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes
SR-FINRA-2011-004 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2011-003 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2011-002 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-001 Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
SR-FINRA-2010-068 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-067 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities

Pages