Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
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SR-FINRA-2015-052 | Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration) |
SR-FINRA-2015-051 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2015-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2015-049 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |
SR-FINRA-2015-048 | Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
SR-FINRA-2015-047 | Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program |
SR-FINRA-2015-046 | Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI |
SR-FINRA-2015-045 | Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq) |
SR-FINRA-2015-044 | Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57) |
SR-FINRA-2015-043 | Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA |
SR-FINRA-2015-042 | Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57) |
SR-FINRA-2015-041 | Proposed Rule to Establish Fees for Funding Portals |
SR-FINRA-2015-040 | Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 |
SR-FINRA-2015-039 | Proposed Rule Change Relating to the Series 28 Examination Program |
SR-FINRA-2015-038 | Proposed Rule Change Relating to the Series 27 Examination Program |
SR-FINRA-2015-037 | Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4) |
SR-FINRA-2015-036 | Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market |
SR-FINRA-2015-035 | Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities |
SR-FINRA-2015-034 | Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. |
SR-FINRA-2015-033 | Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities |
SR-FINRA-2015-032 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5 |
SR-FINRA-2015-031 | Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”) |
SR-FINRA-2015-030 | Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook |
SR-FINRA-2015-029 | Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook |
SR-FINRA-2015-028 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |