Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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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) |
SR-FINRA-2016-016 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2016-015 | Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset. |
SR-FINRA-2016-014 | Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures |
SR-FINRA-2016-013 | Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
SR-FINRA-2016-012 | Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares)) |
SR-FINRA-2016-011 | Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities |
SR-FINRA-2016-010 | Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) |
SR-FINRA-2016-009 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
SR-FINRA-2016-008 | Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
SR-FINRA-2016-007 | Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies |
SR-FINRA-2016-006 | Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) |
SR-FINRA-2016-005 | Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities |
SR-FINRA-2016-004 | Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) |
SR-FINRA-2016-003 | Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator |
SR-FINRA-2016-002 | Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information |
SR-FINRA-2016-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2015-059 | Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
SR-FINRA-2015-058 | Proposed Rule Change Relating to the Series 9/10 Examination Program |
SR-FINRA-2015-057 | Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers |
SR-FINRA-2015-056 | Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules |
SR-FINRA-2015-055 | Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) |
SR-FINRA-2015-054 | Proposed Rule Change to Adopt the Capital Acquisition Broker Rules |
SR-FINRA-2015-053 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |