Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2015-017 Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
SR-FINRA-2015-016 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
SR-FINRA-2015-014 Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
SR-FINRA-2015-013 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2015-012 Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
SR-FINRA-2015-011 Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
SR-FINRA-2015-010 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-009 Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
SR-FINRA-2015-008 Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
SR-FINRA-2015-007 Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
SR-FINRA-2015-006 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
SR-FINRA-2015-005 Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
SR-FINRA-2015-004 Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
SR-FINRA-2015-003 Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
SR-FINRA-2015-002 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2014-051 Proposed Rule Change Relating to In Concert Reporting of Options Positions
SR-FINRA-2014-050 Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
SR-FINRA-2014-049 Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
SR-FINRA-2014-048 Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2014-047 Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
SR-FINRA-2014-046 Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
SR-FINRA-2014-045 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-044 Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025

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