Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
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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) |
SR-FINRA-2015-027 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2015-026 | Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down |
SR-FINRA-2015-025 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable |
SR-FINRA-2015-024 | Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants |
SR-FINRA-2015-023 | Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
SR-FINRA-2015-022 | Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites |
SR-FINRA-2015-021 | Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees |
SR-FINRA-2015-020 | Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs |
SR-FINRA-2015-019 | Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders |
SR-FINRA-2015-018 | Proposed Rule Change to Revise the Series 4 Examination Program |
SR-FINRA-2015-017 | Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories |
SR-FINRA-2015-016 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
SR-FINRA-2015-015 | Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements |
SR-FINRA-2015-014 | Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites |
SR-FINRA-2015-013 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2015-012 | Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System |
SR-FINRA-2015-011 | Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H) |
SR-FINRA-2015-010 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2015-009 | Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents |
SR-FINRA-2015-008 | Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 |
SR-FINRA-2015-007 | Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue |
SR-FINRA-2015-006 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees |
SR-FINRA-2015-005 | Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information) |
SR-FINRA-2015-004 | Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook |