Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2011-061 Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2011-060 Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-059 Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
SR-FINRA-2011-058 Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2011-057 Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2011-056 Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
SR-FINRA-2011-055 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-054 Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-FINRA-2011-053 Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
SR-FINRA-2011-052 Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
SR-FINRA-2011-051 Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2011-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2011-049 Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2011-048 Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2011-047 Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2011-046 Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2011-045 Proposed Rule Change to Revise the Series 7 Examination Program
SR-FINRA-2011-044 Proposed Rule Change to Amend FINRA's Code of Procedure
SR-FINRA-2011-043 Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
SR-FINRA-2011-042 Proposed Rule Change Relating to Fee for the Operations Professional Examination
SR-FINRA-2011-041 Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
SR-FINRA-2011-040 Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-039 Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2011-038 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-037 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions