Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2016-032 Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
SR-FINRA-2013-019 Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2011-042 Proposed Rule Change Relating to Fee for the Operations Professional Examination
SR-FINRA-2009-056 Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
SR-NASD-2007-009 Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100
SR-FINRA-2011-055 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-021 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2009-094 Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
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-2010-046 Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
SR-FINRA-2019-020 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2015-016 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2011-029 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2019-021 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2012-016 Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2011-051 Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2012-053 Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2011-073 Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
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-2017-013 Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SR-FINRA-2018-021 Proposed Rule Change Relating to District Committee Structure and Governance
SR-FINRA-2007-034 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
SR-FINRA-2007-018 Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues
SR-FINRA-2013-022 Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SR-NASD-2007-040 Proposed Rule Change Relating to Clearing Reports for Previously Executed Trades

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