Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2017-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2016-048 | Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website |
| SR-FINRA-2016-047 | Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2 |
| SR-FINRA-2016-046 | Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
| SR-FINRA-2016-045 | Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems |
| SR-FINRA-2016-044 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| 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 |