Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort descending | Title |
---|---|
SR-FINRA-2014-029 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2014-028 | Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator |
SR-FINRA-2014-027 | Proposed Rule Change Relating to Options Exercise Procedures |
SR-FINRA-2014-026 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees |
SR-FINRA-2014-025 | Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
SR-FINRA-2014-024 | Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules |
SR-FINRA-2014-023 | Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook |
SR-FINRA-2014-022 | Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046 |
SR-FINRA-2014-021 | Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
SR-FINRA-2014-020 | Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) |
SR-FINRA-2014-019 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement. |
SR-FINRA-2014-018 | Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
SR-FINRA-2014-017 | Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems |
SR-FINRA-2014-016 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2014-015 | Proposed Rule Change to Revise the Series 26 Examination Program |
SR-FINRA-2014-014 | Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
SR-FINRA-2014-013 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities |
SR-FINRA-2014-012 | Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) |
SR-FINRA-2014-011 | Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) |
SR-FINRA-2014-010 | Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) |
SR-FINRA-2014-009 | Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority |
SR-FINRA-2014-008 | Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution |
SR-FINRA-2014-007 | Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility |
SR-FINRA-2014-006 | Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs |
SR-FINRA-2014-005 | Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding |