Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2017-023
Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities - New
SR-FINRA-2017-022
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”)) - New
SR-FINRA-2017-021
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report - New
SR-FINRA-2017-020
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) - New
SR-FINRA-2017-019
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) - New
SR-FINRA-2017-018
Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities - New
SR-FINRA-2017-017
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) - Updated
SR-FINRA-2017-016 Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
SR-FINRA-2017-015 Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
SR-FINRA-2017-014 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2017-013 Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SR-FINRA-2017-012 Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
SR-FINRA-2017-011 Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
SR-FINRA-2017-010 Proposed Rule Change to Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-009
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration - Updated
SR-FINRA-2017-008 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2017-007 Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
SR-FINRA-2017-006 Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-005 Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-004 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-003 Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
SR-FINRA-2017-002 Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
SR-FINRA-2017-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2016-048 Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
SR-FINRA-2016-047 Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2

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