Proposed Rule Change to Revise the Series 6 Examination Program
Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
