Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2013-049 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2013-048 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
SR-FINRA-2013-047 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
SR-FINRA-2013-046 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
SR-FINRA-2013-045 Proposed Rule Change to Revise the Series 6 Examination Program
SR-FINRA-2013-044 Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SR-FINRA-2013-043 Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
SR-FINRA-2013-042 Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SR-FINRA-2013-041 Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
SR-FINRA-2013-040 Proposed Rule Change to Amend FINRA Rule 7730(c) to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
SR-FINRA-2013-039 Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
SR-FINRA-2013-038 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2013-037 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2013-036 Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
SR-FINRA-2013-035 Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2013-034 Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
SR-FINRA-2013-033 Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan.
SR-FINRA-2013-032 Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2013-031 Proposed Rule Change Relating to Participation on the Alternative Display Facility
SR-FINRA-2013-030 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2013-029 Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
SR-FINRA-2013-028 Proposed Rule Change to Revise the Series 55 Examination Program
SR-FINRA-2013-027 Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
SR-FINRA-2013-026 Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2013-025 Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules

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