2008 Rule Filings

SR-FINRA-2008-069   Proposed Rule Change to Amend NASD Rule 3340 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts)
SR-FINRA-2008-068   Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
SR-FINRA-2008-067   Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
SR-FINRA-2008-066   Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
SR-FINRA-2008-065   Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine
SR-FINRA-2008-064   Proposed Rule Change to Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) to provide an Alternative Method of Calculating the Current Inside Spread
SR-FINRA-2008-063   Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook
SR-FINRA-2008-062   Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
SR-FINRA-2008-061   Proposed Rule Change to Adopt IM-2110-5 (Anti-Intimidation/Coordination) as FINRA Rule 5240 in the Consolidated FINRA Rulebook Without Material Change
SR-FINRA-2008-060   Proposed Rule Change Relating to Trade Reporting Transfers of Securities Pursuant to an Asset Purchase Agreement
SR-FINRA-2008-059   Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
SR-FINRA-2008-057   Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2008-056   Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
SR-FINRA-2008-055   Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
SR-FINRA-2008-054   Proposed Rule Change to Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
SR-FINRA-2008-053   Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Certain Qualification Examination Fees
SR-FINRA-2008-052   Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook
SR-FINRA-2008-051   Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
SR-FINRA-2008-050   Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
SR-FINRA-2008-049   Proposed Rule Change Relating to UPC Advisory on Trading Halts in OTC Equity Securities
SR-FINRA-2008-048   Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
SR-FINRA-2008-047   Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000
SR-FINRA-2008-046   Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
SR-FINRA-2008-045   Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
SR-FINRA-2008-044   Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
SR-FINRA-2008-043   Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
SR-FINRA-2008-042   Proposed Rule Change Relating to Amendments to Portolio Margin
SR-FINRA-2008-041   Proposed Rule Change to Make Permanent the Portfolio Margin Pilot Program
SR-FINRA-2008-040   Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data
SR-FINRA-2008-039   Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Reg M) in the Consolidated FINRA Rulebook
SR-FINRA-2008-038   Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Define Market Letters as Correspondence Rather than as Sales Literature
SR-FINRA-2008-037   Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions)
SR-FINRA-2008-036   Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2008-035   Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the Series 14 and Series 16 Examinations
SR-FINRA-2008-034   Proposed Rule Change to Amend Incorporated NYSE Rules 311, 342, 345, 346, and 416 to Delete References to Fees in Those Rules
SR-FINRA-2008-033   Proposed Rule Change to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
SR-FINRA-2008-032   Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
SR-FINRA-2008-031   Proposed Rule Change will Amend the Uniform Submission Agreement
SR-FINRA-2008-030   Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
SR-FINRA-2008-029   Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2008-028   Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
SR-FINRA-2008-027   Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
SR-FINRA-2008-026   Proposed Rule Change to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
SR-FINRA-2008-025   Proposed Rule Change to Adopt NASD Rule 2790 as FINRA Rule 5130 in the Consolidated FINRA Rulebook
SR-FINRA-2008-024   Proposed Rule Change to Amend the Discovery Guide to Update the Document Production Lists
SR-FINRA-2008-023   Proposed Rule Change to Amend NASD IM-9216 to Expand the FINRA Minor Rule Violation Plan
SR-FINRA-2008-022   Proposed Rule Change to Amend NASD IM-1013-1 to Address the Applicability of the Consolidated FINRA Rules to Firms That Became FINRA Members Pursuant to IM-1013-1
SR-FINRA-2008-021   Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
SR-FINRA-2008-020   Proposed Rule Change to Adopt a New FINRA Rule 5122 to Impose Requirements Regarding Member Private Offerings
SR-FINRA-2008-019   Proposed Rule Change to Amend Certain Provisions of Rule 2821
SR-FINRA-2008-018   Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations
SR-FINRA-2008-017   Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
SR-FINRA-2008-016   Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities
SR-FINRA-2008-015   Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
SR-FINRA-2008-014   Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2008-013   Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-FINRA-2008-012   Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
SR-FINRA-2008-011   Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
SR-FINRA-2008-010   Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
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-2008-008   Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-FINRA-2008-007   Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
SR-FINRA-2008-006   Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
SR-FINRA-2008-005   Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
SR-FINRA-2008-004   Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
SR-FINRA-2008-003   Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
SR-FINRA-2008-002   Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-FINRA-2008-001   Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws