SR-FINRA-2009-005 - Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Proposed Rule Change Relating to In Concert Reporting of Options Positions
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2008-066 - Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
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
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
