Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2008-013 Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-NASD-2006-125 Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-NASD-2005-040 Proposed Rule Change to Amend Rule 2860
SR-NASD-2007-044 Proposed Rule Change to Amend Rule 2860 Regarding the Delta Hedging Exemption from Equity Options Position Limits
SR-NASD-2006-129 Proposed Rule Change to Amend Rule 6130C of the NASD/NSX Trade Reporting Facility Rules to Require Use of a Special Indicator Denoting That Certain Transactions are Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws
SR-FINRA-2017-006 Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-010 Proposed Rule Change to Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2009-030 Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
SR-FINRA-2011-053 Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
SR-NASD-2004-189 Proposed Rule Change to Amend Rule 7010(k)
SR-NASD-2005-083 Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
SR-NASD-2005-074 Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data
SR-FINRA-2014-007 Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
SR-FINRA-2015-049 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-053 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2014-032 Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
SR-FINRA-2011-056 Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
SR-FINRA-2017-033 Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
SR-FINRA-2009-033 Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
SR-FINRA-2014-005 Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
SR-FINRA-2009-013 Proposed Rule Change to Amend Rules 12206 and 13206 of the Customer and Industry Codes
SR-FINRA-2009-073 Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
SR-FINRA-2008-051 Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
SR-FINRA-2010-022 Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
SR-FINRA-2010-006 Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration

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