Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
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SR-FINRA-2013-035 | Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook |
SR-FINRA-2013-034 | Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens |
SR-FINRA-2013-033 | Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan. |
SR-FINRA-2013-032 | Proposed Rule Change to Revise the Series 16 Examination Program |
SR-FINRA-2013-031 | Proposed Rule Change Relating to Participation on the Alternative Display Facility |
SR-FINRA-2013-030 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2013-029 | Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A |
SR-FINRA-2013-028 | Proposed Rule Change to Revise the Series 55 Examination Program |
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-2013-026 | Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) |
SR-FINRA-2013-025 | Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
SR-FINRA-2013-024 | Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings |
SR-FINRA-2013-023 | Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators |
SR-FINRA-2013-022 | Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions |
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-2013-020 | Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange |
SR-FINRA-2013-019 | Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2013-018 | Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) |
SR-FINRA-2013-017 | Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2013-016 | Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility |
SR-FINRA-2013-015 | Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application |
SR-FINRA-2013-014 | Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category |
SR-FINRA-2013-013 | Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution |
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-2013-011 | Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) |