Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2012-037 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2012-036 Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
SR-FINRA-2012-035 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-034 Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
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-2012-032 Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
SR-FINRA-2012-031 Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
SR-FINRA-2012-030 Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
SR-FINRA-2012-029 Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
SR-FINRA-2012-028 Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
SR-FINRA-2012-027 Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2012-026 Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
SR-FINRA-2012-025 Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2012-024 Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2012-023 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2012-021 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
SR-FINRA-2012-020 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
SR-FINRA-2012-019 Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
SR-FINRA-2012-018 Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
SR-FINRA-2012-017 Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
SR-FINRA-2012-016 Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2012-015 Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-014 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-012 Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
SR-FINRA-2012-011 Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster

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