Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2013-045 Proposed Rule Change to Revise the Series 6 Examination Program
SR-FINRA-2011-045 Proposed Rule Change to Revise the Series 7 Examination Program
SR-NASD-2002-005 Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-NASD-2003-057 Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-NASD-1997-077 Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims
SR-NASD-1998-003 Proposed Rule Change to Rule 1120
SR-NASD-1998-020 Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions
SR-NASD-2005-011 Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB
SR-NASD-1998-034 Proposed Rule Change to Rule 9514
SR-NASD-2005-067 Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB")
SR-NASD-2003-192 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2002-100 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-109 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-194 Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR-NASD-2003-018 Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR-NASD-2002-012 Proposed Rule Change to Subordination Agreement Requirements
SR-FINRA-2008-009 Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SR-FINRA-2011-012 Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
SR-FINRA-2010-066 Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
SR-FINRA-2010-010 Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
SR-FINRA-2010-023 Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
SR-FINRA-2010-060 Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2009-062 Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
SR-FINRA-2009-078 Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
SR-FINRA-2013-001 Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws

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