Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2008-013 Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-FINRA-2008-012 Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
SR-FINRA-2008-011 Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
SR-FINRA-2008-010 Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
SR-FINRA-2008-009 Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SR-FINRA-2008-008 Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-FINRA-2008-007 Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
SR-FINRA-2008-006 Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
SR-FINRA-2008-005 Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
SR-FINRA-2008-004 Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
SR-FINRA-2008-003 Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
SR-FINRA-2008-002 Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-FINRA-2008-001 Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws
SR-NASD-2007-057 Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
SR-NASD-2007-056 Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-NASD-2007-055 Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan
SR-NASD-2007-054 Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct
SR-NASD-2007-053 Proposed Rule Change to Amend the Restated Certificate of Incorporation of NASD to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. and to Conform the Certificate to the Amended NASD By-Laws
SR-NASD-2007-052 Proposed Rule Change to NASD Rule 9700 Series Regarding Procedures on General Grievances Related to NASD Automated Systems
SR-NASD-2007-051 Proposed Rule Change to Amend NASD Rule 7002B to Establish Fees for the Transfer of Transaction Fees Through the NASD/Nasdaq Trade Reporting Facility
SR-NASD-2007-050 Proposed Amendment to Rule 2711 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
SR-NASD-2007-049 Proposed Rule Change to Amend NASD Rule 3013 and Accompanying IM-3013
SR-NASD-2007-048 Proposed Rule Change to Amend NASD Rule 2210 (Communications with the Public)
SR-NASD-2007-047 Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO
SR-NASD-2007-046 RFN Proposed Rule Change to Allow NASD Members to Use the NASD/Nasdaq Trade Reporting Facility to Process Transaction Fees Charged by One Member to Another Member