Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2011-041 | Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program |
| SR-FINRA-2011-040 | Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional) |
| SR-FINRA-2011-039 | Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2011-038 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2011-037 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
| SR-FINRA-2011-036 | Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust |
| SR-FINRA-2011-035 | Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook |
| SR-FINRA-2011-034 | Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2011-033 | Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2011-032 | Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA |
| SR-FINRA-2011-031 | Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing |
| SR-FINRA-2011-030 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2011-029 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2011-028 | Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
| SR-FINRA-2011-027 | Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs |
| SR-FINRA-2011-026 | Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions |
| SR-FINRA-2011-025 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-024 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2011-023 | Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks |
| SR-FINRA-2011-021 | Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks |
| SR-FINRA-2011-020 | Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
| SR-FINRA-2011-019 | Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook |
| SR-FINRA-2011-018 | Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2011-017 | Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) |
| SR-FINRA-2011-016 | Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability) |