Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-FINRA-2012-012 | Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 |
SR-FINRA-2012-011 | Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster |
SR-FINRA-2012-010 | Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) |
SR-FINRA-2012-009 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States |
SR-FINRA-2012-008 | Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities. |
SR-FINRA-2012-007 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
SR-FINRA-2012-006 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
SR-FINRA-2012-005 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
SR-FINRA-2012-004 | Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2012-003 | Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019 |
SR-FINRA-2012-001 | Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting) |
SR-FINRA-2011-075 | Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code |
SR-FINRA-2011-074 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
SR-FINRA-2011-073 | Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee |
SR-FINRA-2011-072 | Proposed Rule Change to Extend a TRACE Pilot Program |
SR-FINRA-2011-071 | Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
SR-FINRA-2011-070 | Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information) |
SR-FINRA-2011-069 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced |
SR-FINRA-2011-068 | Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses) |
SR-FINRA-2011-067 | Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration |
SR-FINRA-2011-066 | Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade |
SR-FINRA-2011-065 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
SR-FINRA-2011-064 | Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports |
SR-FINRA-2011-063 | Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules |
SR-FINRA-2011-062 | Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction) |