Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2010-053 Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases
SR-FINRA-2010-052 Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
SR-FINRA-2010-051 Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
SR-FINRA-2010-050 The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
SR-FINRA-2010-049 Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility
SR-FINRA-2010-048 Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
SR-FINRA-2010-047 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2010-046 Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
SR-FINRA-2010-045 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2010-044 Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2010-043 Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
SR-FINRA-2010-042 Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
SR-FINRA-2010-041 Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
SR-FINRA-2010-040 Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution)
SR-FINRA-2010-039 Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated
FINRA Rulebook
SR-FINRA-2010-038 Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
SR-FINRA-2010-037 Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
SR-FINRA-2010-036 Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
SR-FINRA-2010-035 Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes
SR-FINRA-2010-034 Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-033 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
SR-FINRA-2010-032 Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities
SR-FINRA-2010-031 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) as Part of their New Membership Application
SR-FINRA-2010-030 Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRARulebook
SR-FINRA-2010-029 Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook