Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2017-027 Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
SR-FINRA-2013-054 Proposed Rule Change Relating to Capacity Management Plan
SR-FINRA-2016-033 Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SR-FINRA-2013-021 Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
SR-FINRA-2011-063 Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
SR-NASD-2005-121 Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013
SR-FINRA-2008-042 Proposed Rule Change Relating to Amendments to Portolio Margin
SR-NASD-2005-093 Proposed Rule Change Relating to Amendments to NASD Rule 3370
SR-FINRA-2007-013 Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements)
SR-FINRA-2013-027 Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
SR-FINRA-2014-004 Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
SR-FINRA-2009-032 Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
SR-NASD-2007-047 Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-NASD-2006-070 Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions
SR-FINRA-2016-002 Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
SR-FINRA-2013-052 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2011-049 Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2010-038 Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
SR-NASD-2006-108 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange
SR-NASD-2006-115 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange
SR-NASD-2007-011 Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc.
SR-FINRA-2009-006 Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
SR-FINRA-2009-057 Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
SR-FINRA-2012-036 Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
SR-NASD-2003-074 Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties

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