Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
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)
SR-FINRA-2013-010 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2013-009 Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-FINRA-2013-008 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities