Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2005-089 Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
SR-NASD-2004-165 Proposed Rule Change Relating to NASD Rule 2790
SR-FINRA-2016-030 Proposed Rule Change Relating to Motions to Dismiss in Arbitration
SR-FINRA-2013-026 Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
SR-NASD-2000-011 Proposed Rule Change Relating to Mediation Fee Structure
SR-FINRA-2009-012 Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit Default Swaps
SR-FINRA-2015-046 Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
SR-FINRA-2008-056 Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
SR-FINRA-2014-051 Proposed Rule Change Relating to In Concert Reporting of Options Positions
SR-FINRA-2011-020 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-071 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2012-023 Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2012-029 Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
SR-FINRA-2009-022 Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2010-048 Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
SR-FINRA-2010-014 Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
SR-FINRA-2013-018 Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
SR-FINRA-2019-003 Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
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
SR-FINRA-2018-039 Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)
SR-FINRA-2013-006 Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
SR-FINRA-2018-040 Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2013-017 Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-024 Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2018-016 Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions

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