Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2013-039 | Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA |
| SR-FINRA-2013-038 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2013-037 | Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) |
| SR-FINRA-2013-036 | Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) |
| SR-FINRA-2013-035 | Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2013-034 | Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens |
| SR-FINRA-2013-033 | Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan. |
| SR-FINRA-2013-032 | Proposed Rule Change to Revise the Series 16 Examination Program |
| SR-FINRA-2013-031 | Proposed Rule Change Relating to Participation on the Alternative Display Facility |
| SR-FINRA-2013-030 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2013-029 | Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A |
| SR-FINRA-2013-028 | Proposed Rule Change to Revise the Series 55 Examination Program |
| SR-FINRA-2013-027 | Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options |
| SR-FINRA-2013-026 | Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) |
| SR-FINRA-2013-025 | Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
| SR-FINRA-2013-024 | Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings |
| SR-FINRA-2013-023 | Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators |
| SR-FINRA-2013-022 | Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions |
| SR-FINRA-2013-021 | Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions) |
| SR-FINRA-2013-020 | Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange |
| SR-FINRA-2013-019 | Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2013-018 | Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) |
| SR-FINRA-2013-017 | Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2013-016 | Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2013-015 | Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application |