Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
---|---|
SR-FINRA-2015-003 | Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing |
SR-FINRA-2015-002 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2015-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2014-051 | Proposed Rule Change Relating to In Concert Reporting of Options Positions |
SR-FINRA-2014-050 | Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) |
SR-FINRA-2014-049 | Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook. |
SR-FINRA-2014-048 | Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
SR-FINRA-2014-047 | Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook |
SR-FINRA-2014-046 | Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure |
SR-FINRA-2014-045 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2014-044 | Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025 |
SR-FINRA-2014-043 | Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) |
SR-FINRA-2014-042 | Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems |
SR-FINRA-2014-041 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2014-040 | Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 |
SR-FINRA-2014-039 | Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 |
SR-FINRA-2014-038 | Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook |
SR-FINRA-2014-037 | Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar) |
SR-FINRA-2014-036 | Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings |
SR-FINRA-2014-035 | Proposed Rule Change to Revise the Series 24 Examination Program |
SR-FINRA-2014-034 | Proposed Rule Change to Revise the Series 23 Examination Program |
SR-FINRA-2014-033 | Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070 |
SR-FINRA-2014-032 | Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports |
SR-FINRA-2014-031 | Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers |
SR-FINRA-2014-030 | Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service |