Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2007-031 Revisions to the Series 62 Examination Program
SR-NASD-2007-031 Proposed Rule Change to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants
SR-FINRA-2007-030 Revisions to the Series 55 Examination Program
SR-NASD-2007-030 Proposed Rule Change to Amend NASD Rule 6620 Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities
SR-FINRA-2007-029 Revisions to the Series 42 Examination Program
SR-NASD-2007-029 Proposed Rule Change to Amend NASD Rule 6540(c) Relating to Access Fee Display Requirements
SR-FINRA-2007-028 Revisions to the Series 24 Examination Program
SR-NASD-2007-028 Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System
SR-FINRA-2007-027 Revisions to the Series 23 Examination Program
SR-NASD-2007-027 Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD
SR-FINRA-2007-026 Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data
SR-NASD-2007-026 Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes
SR-FINRA-2007-025 Proposed Rule Change to Amend FINRA's NYSE Rules 421, 440F and 440G to Conform with Changes by the NYSE to its Versions of Rules 421, 440F and 440G
SR-NASD-2007-025 Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to the NASD/NYSE Trade Reporting Facility
SR-FINRA-2007-024 Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
SR-NASD-2007-024 Technical Amendment to Rule 2520 (Margin Requirements)
SR-FINRA-2007-023 Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
SR-NASD-2007-023 Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
SR-FINRA-2007-022 Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations
SR-NASD-2007-022 The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved
SR-FINRA-2007-021 The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals
SR-NASD-2007-021 The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation
SR-FINRA-2007-020 Proposed Rule Change to Amend NASD Rule 2210 to Create an Exception from the Principal Approval Requirements for Certain Filed Sales Material
SR-NASD-2007-020 Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
SR-FINRA-2007-019 Proposed Rule Change to Amend the Definition of Member Organization in FINRA NYSE Rule 2