Rule Filings

Rule Filing Numbersort descending Title
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes - Updated
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2019-014 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
SR-FINRA-2019-015 Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) - Updated