Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2008-039 Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Reg M) in the Consolidated FINRA Rulebook
SR-FINRA-2008-038 Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Define Market Letters as Correspondence Rather than as Sales Literature
SR-FINRA-2008-037 Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions)
SR-FINRA-2008-036 Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2008-035 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
SR-FINRA-2008-034 Proposed Rule Change to Amend Incorporated NYSE Rules 311, 342, 345, 346, and 416 to Delete References to Fees in Those Rules
SR-FINRA-2008-033 Proposed Rule Change to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
SR-FINRA-2008-032 Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
SR-FINRA-2008-031 Proposed Rule Change will Amend the Uniform Submission Agreement
SR-FINRA-2008-030 Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
SR-FINRA-2008-029 Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2008-028 Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
SR-FINRA-2008-027 Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
SR-FINRA-2008-026 Proposed Rule Change to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
SR-FINRA-2008-025 Proposed Rule Change to Adopt NASD Rule 2790 as FINRA Rule 5130 in the Consolidated FINRA Rulebook
SR-FINRA-2008-024 Proposed Rule Change to Amend the Discovery Guide to Update the Document Production Lists
SR-FINRA-2008-023 Proposed Rule Change to Amend NASD IM-9216 to Expand the FINRA Minor Rule Violation Plan
SR-FINRA-2008-022 Proposed Rule Change to Amend NASD IM-1013-1 to Address the Applicability of the Consolidated FINRA Rules to Firms That Became FINRA Members Pursuant to IM-1013-1
SR-FINRA-2008-021 Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
SR-FINRA-2008-020 Proposed Rule Change to Adopt a New FINRA Rule 5122 to Impose Requirements Regarding Member Private Offerings
SR-FINRA-2008-019 Proposed Rule Change to Amend Certain Provisions of Rule 2821
SR-FINRA-2008-018 Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations
SR-FINRA-2008-017 Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
SR-FINRA-2008-016 Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities
SR-FINRA-2008-015 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183