Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2016-041 | Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554 |
| SR-FINRA-2016-040 | Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product |
| SR-FINRA-2016-039 | Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) |
| SR-FINRA-2016-038 | Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders |
| SR-FINRA-2016-037 | Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility |
| SR-FINRA-2016-036 | Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2016-035 | Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
| SR-FINRA-2016-034 | Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028 |
| SR-FINRA-2016-033 | Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration |
| SR-FINRA-2016-032 | Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities |
| SR-FINRA-2016-031 | Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only |
| SR-FINRA-2016-030 | Proposed Rule Change Relating to Motions to Dismiss in Arbitration |
| SR-FINRA-2016-029 | Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation |
| SR-FINRA-2016-028 | Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2016-027 | Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
| SR-FINRA-2016-026 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2016-025 | Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education |
| SR-FINRA-2016-024 | Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) |
| SR-FINRA-2016-023 | Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions |
| SR-FINRA-2016-022 | Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators. |
| SR-FINRA-2016-021 | Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports |
| SR-FINRA-2016-020 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2016-019 | Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2016-018 | Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) |
| SR-FINRA-2016-017 | Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |