Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2014-018 Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-017 Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2014-016 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-015 Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-014 Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-013 Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SR-FINRA-2014-012 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
SR-FINRA-2014-011 Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
SR-FINRA-2014-010 Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SR-FINRA-2014-009 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
SR-FINRA-2014-008 Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SR-FINRA-2014-007 Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
SR-FINRA-2014-006 Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs
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-2014-004 Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
SR-FINRA-2014-003 Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules
SR-FINRA-2014-002 Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2014-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2013-056 Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials)
SR-FINRA-2013-055 Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits
SR-FINRA-2013-054 Proposed Rule Change Relating to Capacity Management Plan
SR-FINRA-2013-053 Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
SR-FINRA-2013-052 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2013-051 Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
SR-FINRA-2013-050 Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting

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