Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2003-145 Proposed Rule Change to Give Authority to NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations
SR-FINRA-2017-028 Proposed Rule Change to Implement a New Electronic Form 211
SR-FINRA-2011-032 Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
SR-FINRA-2009-069 Proposed Rule Change to Impose an Excess Capacity Usage Fee on ADF Trading Centers that Exceed Their Certified Volume Levels Pursuant to a New FINRA ADF Capacity Management Plan
SR-NASD-2007-054 Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
SR-NASD-2006-131 Proposed Rule Change to Increase the Frequency of the Short Interest Reporting Requirements Under Rule 3360
SR-FINRA-2009-071 Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
SR-FINRA-2009-002 Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
SR-NASD-2007-002 Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS
SR-NASD-2007-014 Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS
SR-FINRA-2010-004 Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
SR-FINRA-2012-033 Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2009-027 Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
SR-FINRA-2008-041 Proposed Rule Change to Make Permanent the Portfolio Margin Pilot Program
SR-FINRA-2017-032 Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
SR-FINRA-2007-036 Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms
SR-FINRA-2017-036 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2007-009 Proposed Rule Change to Modernize and Simplify NASD Rule 2720
SR-FINRA-2010-011 Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2012-032 Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
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

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