Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-FINRA-2010-054 | Proposed Rule Change to Extend the Period in Which to Make Rule Changes in SR-FINRA-2009-065 Effective |
SR-FINRA-2010-053 | Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases |
SR-FINRA-2010-052 | Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook |
SR-FINRA-2010-051 | Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003 |
SR-FINRA-2010-050 | The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims |
SR-FINRA-2010-049 | Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility |
SR-FINRA-2010-048 | Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol |
SR-FINRA-2010-047 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2010-046 | Proposed Rule Change Relating to Exemptions from the Trading Activity Fee |
SR-FINRA-2010-045 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
SR-FINRA-2010-044 | Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks |
SR-FINRA-2010-043 | Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS |
SR-FINRA-2010-042 | Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets) |
SR-FINRA-2010-041 | Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading |
SR-FINRA-2010-040 | Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution) |
SR-FINRA-2010-039 | Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook |
SR-FINRA-2010-038 | Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01 |
SR-FINRA-2010-037 | Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants) |
SR-FINRA-2010-036 | Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding |
SR-FINRA-2010-035 | Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes |
SR-FINRA-2010-034 | Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook |
SR-FINRA-2010-033 | Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule |
SR-FINRA-2010-032 | Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities |
SR-FINRA-2010-031 | Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) as Part of their New Membership Application |
SR-FINRA-2010-030 | Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRARulebook |