SR-FINRA-2011-071 |
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
SR-FINRA-2011-070 |
Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information) |
SR-FINRA-2011-069 |
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced |
SR-FINRA-2011-068 |
Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses) |
SR-FINRA-2011-067 |
Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration |
SR-FINRA-2011-066 |
Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade |
SR-FINRA-2011-065 |
Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
SR-FINRA-2011-064 |
Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports |
SR-FINRA-2011-063 |
Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules |
SR-FINRA-2011-062 |
Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction) |
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-FINRA-2011-060 |
Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional) |
SR-FINRA-2011-059 |
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook |
SR-FINRA-2011-058 |
Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2011-057 |
Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities) |
SR-FINRA-2011-056 |
Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced” |
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-2011-054 |
Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) |
SR-FINRA-2011-053 |
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules |
SR-FINRA-2011-052 |
Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook |
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-2011-050 |
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules |
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-2011-048 |
Proposed Rule Change to Revise the Series 38 Examination Program |
SR-FINRA-2011-047 |
Proposed Rule Change to Revise the Series 37 Examination Program |