Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2015-027 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2015-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-045 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2010-047 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-004 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
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-2009-046 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2010-002 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2009-005 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2011-030 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2012-007 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-065 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2013-053 Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
SR-FINRA-2017-022 Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
SR-FINRA-2015-007 Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
SR-FINRA-2008-031 Proposed Rule Change will Amend the Uniform Submission Agreement
SR-FINRA-2009-072 Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected
SR-NASD-1998-032 Proposed Rule Excluding Research Reports from Filing Requirements
SR-FINRA-2018-003 Proposed Rule Filing Relating to Simplified Arbitration
SR-FINRA-2009-023 Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook
SR-NASD-2003-140 Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
SR-NASD-1998-035 Proposed Rule Relating to Books and Records
SR-NASD-1998-028 Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts
SR-NASD-1998-014 Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts

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