Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2006-076 Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350)
SR-FINRA-2015-020 Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
SR-FINRA-2011-061 Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-NASD-2005-146 Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule")
SR-FINRA-2018-043 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-NASD-2003-181 Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR-FINRA-2011-072 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-025 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-002 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2012-047 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2013-038 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2009-034 Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
SR-NASD-2005-061 Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program
SR-NASD-2007-033 Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program
SR-NASD-2006-050 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-160 Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2004-012 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2003-067 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-FINRA-2013-012 Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
SR-FINRA-2013-041 Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
SR-FINRA-2014-013 Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SR-NASD-2005-152 Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2
SR-FINRA-2009-092 Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
SR-FINRA-2012-055 Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
SR-NASD-2006-118 Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business

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