Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2012-054 Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
SR-FINRA-2012-053 Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2012-052 Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
SR-FINRA-2012-051 Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
SR-FINRA-2012-050 Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-049 Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
SR-FINRA-2012-048 Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-FINRA-2012-047 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2012-046 Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
SR-FINRA-2012-045 Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
SR-FINRA-2012-044 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
SR-FINRA-2012-043 Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
SR-FINRA-2012-042 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
SR-FINRA-2012-041 Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
SR-FINRA-2012-040 Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
SR-FINRA-2012-039 Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2012-038 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2012-037 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
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-FINRA-2012-035 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-034 Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
SR-FINRA-2012-033 Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-032 Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
SR-FINRA-2012-031 Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
SR-FINRA-2012-030 Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository

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