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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2016-012 | Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares)) |
| SR-FINRA-2016-011 | Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities |
| SR-FINRA-2016-010 | Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) |
| SR-FINRA-2016-009 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
| SR-FINRA-2016-008 | Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| SR-FINRA-2016-007 | Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies |
| SR-FINRA-2016-006 | Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) |
| SR-FINRA-2016-005 | Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities |
| SR-FINRA-2016-004 | Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) |
| SR-FINRA-2016-003 | Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator |
| SR-FINRA-2016-002 | Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information |
| SR-FINRA-2016-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2015-059 | Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2015-058 | Proposed Rule Change Relating to the Series 9/10 Examination Program |
| SR-FINRA-2015-057 | Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers |
| SR-FINRA-2015-056 | Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules |
| SR-FINRA-2015-055 | Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) |
| SR-FINRA-2015-054 | Proposed Rule Change to Adopt the Capital Acquisition Broker Rules |
| SR-FINRA-2015-053 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |
| SR-FINRA-2015-052 | Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration) |
| SR-FINRA-2015-051 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2015-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2015-049 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |
| SR-FINRA-2015-048 | Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
| SR-FINRA-2015-047 | Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program |