Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-FINRA-2010-028 | Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook |
SR-FINRA-2010-027 | Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc. |
SR-FINRA-2010-026 | Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook |
SR-FINRA-2010-025 | Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) |
SR-FINRA-2010-024 | Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook |
SR-FINRA-2010-023 | Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule |
SR-FINRA-2010-022 | Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure |
SR-FINRA-2010-021 | Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device |
SR-FINRA-2010-020 | Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements |
SR-FINRA-2010-019 | Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065 |
SR-FINRA-2010-018 | Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook |
SR-FINRA-2010-017 | Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member |
SR-FINRA-2010-016 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws |
SR-FINRA-2010-015 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws |
SR-FINRA-2010-014 | Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context |
SR-FINRA-2010-013 | Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit |
SR-FINRA-2010-012 | Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure) |
SR-FINRA-2010-011 | Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees |
SR-FINRA-2010-010 | Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150 |
SR-FINRA-2010-009 | Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees |
SR-FINRA-2010-008 | Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1) |
SR-FINRA-2010-007 | Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution |
SR-FINRA-2010-006 | Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration |
SR-FINRA-2010-005 | Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts |
SR-FINRA-2010-004 | Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521 |