Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2019-021
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements - Updated
SR-FINRA-2019-020
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements - New
SR-FINRA-2019-019
Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website - Updated
SR-FINRA-2019-018
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules - Updated
SR-FINRA-2019-017 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
SR-FINRA-2019-016 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2019-015 Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
SR-FINRA-2019-014 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2019-012
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes - Updated
SR-FINRA-2019-011 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2019-010 Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2019-009 Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
SR-FINRA-2019-008 Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2019-007 Proposed Rule Change to Adopt FINRA Rule 7640B (Data Products Offered By NYSE)
SR-FINRA-2019-006 Proposed Rule Change to Amend Capital Acquisition Broker (“CAB”) Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
SR-FINRA-2019-005 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2019-004 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2019-003 Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
SR-FINRA-2019-002 Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
SR-FINRA-2019-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2018-043 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2018-042 Proposed Rule Change to Amend FINRA Rules 7610A and 7620A to Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants
SR-FINRA-2018-041 Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2018-040 Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

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