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Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter | Second Quarter | First Quarter
FINRA File Number List for 2010
Additional Archives
2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| Third Quarter |
SR-FINRA-2010-035 |
| 34-62584 |
Jul. 28, 2010 |
Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-FINRA-2010-035
|
SR-FINRA-2010-029 |
| 34-62539 |
Jul. 21, 2010 |
Order Approving the Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-62299
|
SR-FINRA-2010-028 |
| 34-62533 |
Jul. 20, 2010 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-62288
|
SR-FINRA-2010-006 |
| 34-62521 |
Jul. 16, 2010 |
Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-006
|
SR-FINRA-2010-024 |
| 34-62482 |
Jul. 12, 2010 |
Order Approving a Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-62205
|
SR-FINRA-2010-022 |
| 34-62480 |
Jul. 9, 2010 |
Order Approving Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
See also: Notice: Rel. No. 34-62134
|
SR-FINRA-2010-012 |
| 34-62476 |
Jul. 8, 2010 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
See also: Notice: Rel. No. 34-61927
|
SR-FINRA-2010-030 |
| 34-62454 |
Jul. 6, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Comments due: August 2, 2010
Submit comments on SR-FINRA-2010-030
|
SR-FINRA-2010-027 |
| 34-62441 |
Jul. 2, 2010 |
Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
See also: Notice: Rel. No. 34-62160
|
SR-FINRA-2009-089 |
| 34-62434 |
Jul. 1, 2010 |
Order Approving Proposed FINRA Rule 6490 (Processing of Company-Related Actions) to Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and to Implement Fees for Such Services
See also: Notice: Rel. No. 34-61189
|
SR-FINRA-2010-031 |
| 34-62429 |
Jul. 1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Amending Financial Industry Regulatory Authority, Inc. Online Form NMA
Comments due: July 30, 2010
Submit comments on SR-FINRA-2010-031
|
| Second Quarter |
SR-FINRA-2010-033 |
| 34-62416 |
Jun. 30, 2010 |
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due: July 19, 2010
Additional Materials: Exhibit 3
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-033
|
SR-FINRA-2009-054 |
| 34-62359 |
Jun. 22, 2010 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish in the Market for OTC Equity Securities Certain Regulatory Protections Derived from Certain Rules Adopted by the Commission in the Market for Listed Securities
See also Notices: Rel. No. 34-60515 and Rel. No. 34-61677
|
SR-FINRA-2010-032 |
| 34-62341 |
Jun. 21, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: July 19, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-032
|
SR-FINRA-2010-021 |
| 34-62318 |
Jun. 18, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
Comments due: July 16, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-021
|
SR-FINRA-2010-029 |
| 34-62299 |
Jun. 16, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
Comments due: July 12, 2010
See also: Order: Rel. No. 34-62539
|
SR-FINRA-2010-028 |
| 34-62288 |
Jun. 11, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
Comments due: July 8, 2010
See also: Order: Rel. No. 34-62533
|
SR-FINRA-2010-025 |
| 34-62251 |
Jun. 10, 2010 |
Order Granting Accelerated Approval to Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Permit FINRA to Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market has Issued a Trading Pause due to Extraordinary Market Conditions
See also: Notice: Rel. No. 34-62133
|
SR-FINRA-2010-014 |
| 34-62211 |
Jun. 2, 2010 |
Order Approving Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
See also: Notice: Rel. No. 34-61938
|
SR-FINRA-2010-024 |
| 34-62205 |
Jun. 2, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
Comments due: June 29, 2010
See also: Order: Rel. No. 34-62482
|
SR-FINRA-2010-026 |
| 34-62199 |
Jun. 1, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
Comments due: June 25, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-026
|
SR-FINRA-2010-027 |
| 34-62160 |
May 24, 2010 |
Notice of Filing of Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-62441
|
SR-FINRA-2010-007 |
| 34-62156 |
May 24, 2010 |
Order Approving Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
See also: Notice: Rel. No. 34-61575
|
SR-FINRA-2010-023 |
| 34-62146 |
May 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Comments due: June 17, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-022 |
| 34-62134 |
May 19, 2010 |
Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
Comments due: June 10, 2010
See also: Order: Rel. No. 34-62480
Comments received are available for this notice.
|
SR-FINRA-2010-025 |
| 34-62133 |
May 19, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due: June 3, 2010
See also: Order: Rel. No. 34-62251
Comments received are available for this notice.
|
SR-FINRA-2010-020 |
| 34-62064 |
May 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Comments due: June 7, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-017 |
| 34-61997 |
Apr. 28, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: May 27, 2010
|
SR-FINRA-2010-003 |
| 34-61979 |
Apr. 23, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
See also: Notice: Rel. No. 34-61510
|
SR-FINRA-2010-019 |
| 34-61948 |
Apr. 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Period for SR-FINRA-2009-065
Comments due: May 20, 2010
|
SR-FINRA-2010-014 |
| 34-61938 |
Apr. 19, 2010 |
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Comments due: May 17, 2010
See also: Order: Rel. No. 34-62211
Comments received are available for this notice.
|
SR-FINRA-2010-012 |
| 34-61927 |
Apr. 16, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due: May 13, 2010
Additional Materials: Exhibit 5
Comments received are available for this notice.
See also: Order: Rel. No. 34-62476
|
SR-FINRA-2010-016 |
| 34-61907 |
Apr. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations
Comments due: May 13, 2010
|
| First Quarter |
SR-FINRA-2009-061 |
| 34-61819 |
Mar. 31, 2010 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
Comments due: April 28, 2010
See also: Notice: Rel. No. 34-60960
Comments received are available for this notice.
|
SR-FINRA-2010-011 |
| 34-61817 |
Mar. 31, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Comments due: April 28, 2010
|
SR-FINRA-2010-005 |
| 34-61808 |
Mar. 31, 2010 |
Order Approving Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
See also: Notice: Rel. No. 34-61543
|
SR-FINRA-2010-013 |
| 34-61806 |
Mar. 31, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Comments due: April 27, 2010
|
SR-FINRA-2010-010 |
| 34-61747 |
Mar. 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Comments due: April 19, 2010
|
SR-FINRA-2009-047 |
| 34-61706 |
Mar. 15, 2010 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due: April 12, 2010
See also: Notice: Rel. No. 34-60475
|
SR-NASD-2003-140 |
| 34-61690 |
Mar. 11, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due: April 8, 2010
See also Notices: Rel. No. 34-51039 and Rel. No. 34-50896
Comments received are available for this notice.
Submit comments on SR-NASD-2003-140
|
SR-FINRA-2009-054 |
| 34-61677 |
Mar. 9, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
Comments due: April 6, 2010
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-60515 and Order: Rel. No. 34-62359
Comments received are available for this notice.
|
SR-FINRA-2010-001 |
| 34-61658 |
Mar. 5, 2010 |
Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
See also: Notice: Rel. No. 34-61361
|
SR-FINRA-2010-009 |
| 34-61648 |
Mar. 4, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due: April 1, 2010
|
SR-FINRA-2010-007 |
| 34-61575 |
Feb. 23, 2010 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
Comments due: March 23, 2010
See also: Order: Rel. No. 34-62156
Comments received are available for this notice.
|
SR-FINRA-2009-065 |
| 34-61566 |
Feb. 22, 2010 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Require the Reporting of Transactions in Asset-Backed Securities to TRACE
Comments due: March 22, 2010
See also: Notice: Rel. No. 34-60860
|
SR-FINRA-2010-005 |
| 34-61543 |
Feb. 18, 2010 |
Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
Comments due: March 18, 2010
See also: Order: Rel. No. 34-61808
|
SR-FINRA-2009-093 |
| 34-61542 |
Feb. 18, 2010 |
Order Approving Proposed Rule Change to Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61319
|
SR-FINRA-2009-081 |
| 34-61540 |
Feb. 18, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61253
|
SR-FINRA-2009-095 |
| 34-61537 |
Feb. 18, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61302
|
SR-FINRA-2010-006 |
| 34-61517 |
Feb. 16, 2010 |
Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due: March 16, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-006
|
SR-FINRA-2010-008 |
| 34-61513 |
Feb. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Comments due: March 12, 2010
|
SR-FINRA-2010-003 |
| 34-61510 |
Feb. 5, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
Comments due: March 12, 2010
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-61979
|
SR-FINRA-2009-075 |
| 34-61505 |
Feb. 4, 2010 |
Order Approving Proposed Rule Change to Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also: Notice: Rel. No. 34-61057
|
SR-FINRA-2009-073 |
| 34-61497 |
Feb. 4, 2010 |
Order Approving Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also: Notice: Rel. No. 34-61217
|
SR-FINRA-2009-087 |
| 34-61473 |
Feb. 2, 2010 |
Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61211
|
SR-FINRA-2010-002 |
| 34-61427 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: February 25, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2009-086 |
| 34-61417 |
Jan. 25, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61171
|
SR-FINRA-2010-004 |
| 34-61408 |
Jan. 22, 1010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due: February 18, 2010
|
SR-FINRA-2010-001 |
| 34-61361 |
Jan. 14, 2010 |
Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due: February 12, 2010
See also: Order: Rel. No. 34-61658
Comments received are available for this notice.
|
SR-FINRA-2009-082 |
| 34-61359 |
Jan. 14, 2010 |
Order Approving a Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
See also: Notice: Rel. No. 34-61105
|
SR-FINRA-2009-084 |
| 34-61338 |
Jan. 12, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61083
|
SR-FINRA-2009-080 |
| 34-61332 |
Jan. 12, 2010 |
Order Approving a Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61116
|
SR-FINRA-2009-093 |
| 34-61319 |
Jan. 8, 2009 |
Notice of Filing of Proposed Rule Change to Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook
Comments due: February 9, 2010
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-61542
|
SR-FINRA-2009-072 |
| 34-61311 |
Jan. 7, 2010 |
Order Approving Proposed Rule Change to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also: Notice: Rel. No. 34-61060
|
SR-FINRA-2009-095 |
| 34-61302 |
Jan. 6, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
Comments due: February 2, 2010
See also: Order: Rel. No. 34-61537
|
SR-FINRA-2009-094 |
| 34-61297 |
Jan. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 4, 2010
|
| Release No. |
Date |
Details |
SR-FINRA-2010-035 |
| 34-62584 |
Jul. 28, 2010 |
Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-035
|
SR-FINRA-2010-033 |
| 34-62416 |
Jun. 30, 2010 |
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due: July 19, 2010
Additional Materials: Exhibit 3
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-033
|
SR-FINRA-2010-032 |
| 34-62341 |
Jun. 21, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: July 19, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-032
|
SR-FINRA-2010-031 |
| 34-62429 |
Jul. 1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Amending Financial Industry Regulatory Authority, Inc. Online Form NMA
Comments due: July 30, 2010
Submit comments on SR-FINRA-2010-031
|
SR-FINRA-2010-030 |
| 34-62454 |
Jul. 6, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Comments due: August 2, 2010
Submit comments on SR-FINRA-2010-030
|
SR-FINRA-2010-029 |
| 34-62539 |
Jul. 21, 2010 |
Order Approving the Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
|
| 34-62299 |
Jun. 16, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
Comments due: July 12, 2010
|
SR-FINRA-2010-028 |
| 34-62533 |
Jul. 20, 2010 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
|
| 34-62288 |
Jun. 11, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
Comments due: July 8, 2010
|
SR-FINRA-2010-027 |
| 34-62441 |
Jul. 2, 2010 |
Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
|
| 34-62160 |
May 24, 2010 |
Notice of Filing of Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-FINRA-2010-026 |
| 34-62199 |
Jun. 1, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
Comments due: June 25, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-026
|
SR-FINRA-2010-025 |
| 34-62251 |
Jun. 10, 2010 |
Order Granting Accelerated Approval to Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Permit FINRA to Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market has Issued a Trading Pause due to Extraordinary Market Conditions
|
| 34-62133 |
May 19, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due: June 3, 2010
Comments received are available for this notice.
|
SR-FINRA-2010-024 |
| 34-62482 |
Jul. 12, 2010 |
Order Approving a Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
|
| 34-62205 |
Jun. 2, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
Comments due: June 29, 2010
|
SR-FINRA-2010-023 |
| 34-62146 |
May 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Comments due: June 17, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-022 |
| 34-62480 |
Jul. 9, 2010 |
Order Approving Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
|
| 34-62134 |
May 19, 2010 |
Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
Comments due: June 10, 2010
Comments received are available for this notice.
|
SR-FINRA-2010-021 |
| 34-62318 |
Jun. 18, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
Comments due: July 16, 2010
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-021
|
SR-FINRA-2010-020 |
| 34-62064 |
May 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Comments due: June 7, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-019 |
| 34-61948 |
Apr. 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Period for SR-FINRA-2009-065
Comments due: May 20, 2010
|
SR-FINRA-2010-017 |
| 34-61997 |
Apr. 28, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: May 27, 2010
|
SR-FINRA-2010-016 |
| 34-61907 |
Apr. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations
Comments due: May 13, 2010
|
SR-FINRA-2010-014 |
| 34-62211 |
Jun. 2, 2010 |
Order Approving Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
|
| 34-61938 |
Apr. 19, 2010 |
Notice of Filing of Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Comments due: May 17, 2010
Comments received are available for this notice.
|
SR-FINRA-2010-013 |
| 34-61806 |
Mar. 31, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Comments due: April 27, 2010
|
SR-FINRA-2010-012 |
| 34-62476 |
Jul. 8, 2010 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
|
| 34-61927 |
Apr. 16, 2010 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due: May 13, 2010
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-FINRA-2010-011 |
| 34-61817 |
Mar. 31, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Comments due: April 28, 2010
|
SR-FINRA-2010-010 |
| 34-61747 |
Mar. 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Comments due: April 19, 2010
|
SR-FINRA-2010-009 |
| 34-61648 |
Mar. 4, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due: April 1, 2010
|
SR-FINRA-2010-008 |
| 34-61513 |
Feb. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Comments due: March 12, 2010
|
SR-FINRA-2010-007 |
| 34-62156 |
May 24, 2010 |
Order Approving Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
See also: Notice: Rel. No. 34-61575
|
| 34-61575 |
Feb. 23, 2010 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
Comments due: March 23, 2010
Comments received are available for this notice.
|
SR-FINRA-2010-006 |
| 34-62521 |
Jul. 16, 2010 |
Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-006
|
SR-FINRA-2010-005 |
| 34-61808 |
Mar. 31, 2010 |
Order Approving Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
|
| 34-61543 |
Feb. 18, 2010 |
Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
Comments due: March 18, 2010
|
SR-FINRA-2010-004 |
| 34-61408 |
Jan. 22, 1010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due: February 18, 2010
Submit comments on SR-FINRA-2010-004
|
SR-FINRA-2010-003 |
| 34-61979 |
Apr. 23, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
|
| 34-61510 |
Feb. 5, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
Comments due: March 12, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-002 |
| 34-61427 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: February 25, 2010
Additional Materials: Exhibit 5
|
SR-FINRA-2010-001 |
| 34-61658 |
Mar. 5, 2010 |
Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
|
| 34-61361 |
Jan. 14, 2010 |
Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due: February 12, 2010
Comments received are available for this notice.
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http://www.sec.gov/rules/sro/finra.shtml
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