Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
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SR-FINRA-2012-040 | Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws |
SR-FINRA-2012-039 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
SR-FINRA-2012-038 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
SR-FINRA-2012-037 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
SR-FINRA-2012-036 | Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 |
SR-FINRA-2012-035 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2012-034 | Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF |
SR-FINRA-2012-033 | Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
SR-FINRA-2012-032 | Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting |
SR-FINRA-2012-031 | Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee |
SR-FINRA-2012-030 | Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository |
SR-FINRA-2012-029 | Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110 |
SR-FINRA-2012-028 | Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA |
SR-FINRA-2012-027 | Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules |
SR-FINRA-2012-026 | Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders |
SR-FINRA-2012-025 | Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook |
SR-FINRA-2012-024 | Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements) |
SR-FINRA-2012-023 | Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
SR-FINRA-2012-021 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions |
SR-FINRA-2012-020 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced |
SR-FINRA-2012-019 | Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council |
SR-FINRA-2012-018 | Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA |
SR-FINRA-2012-017 | Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) |
SR-FINRA-2012-016 | Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems |
SR-FINRA-2012-015 | Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |