Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2013-014 | Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category |
| SR-FINRA-2013-013 | Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution |
| SR-FINRA-2013-012 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan |
| SR-FINRA-2013-011 | Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) |
| SR-FINRA-2013-010 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2013-009 | Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility |
| SR-FINRA-2013-008 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| SR-FINRA-2013-006 | Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements) |
| SR-FINRA-2013-005 | Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act |
| SR-FINRA-2013-004 | Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders) |
| SR-FINRA-2013-003 | Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition |
| SR-FINRA-2013-002 | Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection) |
| SR-FINRA-2013-001 | Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws |
| SR-FINRA-2012-056 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2012-055 | Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business |
| SR-FINRA-2012-054 | Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel" |
| SR-FINRA-2012-053 | Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees |
| SR-FINRA-2012-052 | Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission |
| SR-FINRA-2012-051 | Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy |
| SR-FINRA-2012-050 | Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2012-049 | Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis |
| SR-FINRA-2012-048 | Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019 |
| SR-FINRA-2012-047 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2012-046 | Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o) |
| SR-FINRA-2012-045 | Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes |