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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending Title
SR-FINRA-2014-033 Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
SR-FINRA-2014-032 Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
SR-FINRA-2014-031 Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
SR-FINRA-2014-030 Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
SR-FINRA-2014-029 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2014-028 Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
SR-FINRA-2014-027 Proposed Rule Change Relating to Options Exercise Procedures
SR-FINRA-2014-025 Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2014-026 Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SR-FINRA-2014-024 Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules
SR-FINRA-2014-023 Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2014-022 Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
SR-FINRA-2014-021 Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2014-015 Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-020 Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
SR-FINRA-2014-019 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
SR-FINRA-2014-018 Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-017 Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2014-016 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-014 Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-013 Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SR-FINRA-2014-012 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
SR-FINRA-2014-010 Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SR-FINRA-2014-011 Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
SR-FINRA-2014-009 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority