Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2009-047 Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
SR-FINRA-2009-046 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2009-045 Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710
SR-FINRA-2009-044 Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 in the Consolidated FINRA Rulebook
SR-FINRA-2009-043 Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
SR-FINRA-2009-042 Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
SR-FINRA-2009-041 Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
SR-FINRA-2009-040 Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
SR-FINRA-2009-039 Proposed Rule Change to Adopt FINRA Rule 3310 Anti-Money Laundering Compliance Program in the Consolidated FINRA Rulebook
SR-FINRA-2009-038 Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook
SR-FINRA-2009-037 Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-FINRA-2009-036 Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
SR-FINRA-2009-035 Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
SR-FINRA-2009-034 Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
SR-FINRA-2009-033 Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
SR-FINRA-2009-032 Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
SR-FINRA-2009-031 Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
SR-FINRA-2009-030 Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
SR-FINRA-2009-029 Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-028 Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
SR-FINRA-2009-027 Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
SR-FINRA-2009-026 Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-FINRA-2009-025 Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
SR-FINRA-2009-024 Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2009-023 Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook