Rule Filings
View the Rule Filing Status Report.
Rule Filing Number | Title Sort descending |
---|---|
SR-FINRA-2016-043 | Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity |
SR-FINRA-2016-042 | Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
SR-FINRA-2016-041 | Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554 |
SR-FINRA-2016-040 | Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product |
SR-FINRA-2016-039 | Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) |
SR-FINRA-2016-038 | Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders |
SR-FINRA-2016-037 | Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility |
SR-FINRA-2016-036 | Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook |
SR-FINRA-2016-035 | Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
SR-FINRA-2016-034 | Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028 |
SR-FINRA-2016-033 | Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration |
SR-FINRA-2016-032 | Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities |
SR-FINRA-2016-031 | Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only |
SR-FINRA-2016-030 | Proposed Rule Change Relating to Motions to Dismiss in Arbitration |
SR-FINRA-2016-029 | Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation |
SR-FINRA-2016-028 | Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility |
SR-FINRA-2016-027 | Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
SR-FINRA-2016-026 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2016-025 | Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education |
SR-FINRA-2016-024 | Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) |
SR-FINRA-2016-023 | Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions |
SR-FINRA-2016-022 | Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators. |
SR-FINRA-2016-021 | Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports |
SR-FINRA-2016-020 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2016-019 | Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook |