Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-FINRA-2009-023 | Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook |
SR-FINRA-2009-022 | Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings) |
SR-FINRA-2009-021 | Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265 |
SR-FINRA-2009-020 | Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws |
SR-FINRA-2009-019 | Proposed Rule Change to Adopt FINRA Rules 1010 (Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook |
SR-FINRA-2009-018 | Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook |
SR-FINRA-2009-017 | Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook |
SR-FINRA-2009-016 | Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook |
SR-FINRA-2009-015 | Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases |
SR-FINRA-2009-014 | Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book |
SR-FINRA-2009-013 | Proposed Rule Change to Amend Rules 12206 and 13206 of the Customer and Industry Codes |
SR-FINRA-2009-012 | Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit Default Swaps |
SR-FINRA-2009-011 | Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes |
SR-FINRA-2009-010 | Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions |
SR-FINRA-2009-009 | Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook |
SR-FINRA-2009-008 | Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312 |
SR-FINRA-2009-007 | Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282 |
SR-FINRA-2009-006 | Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals |
SR-FINRA-2009-005 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
SR-FINRA-2009-004 | Proposed Rule Change To Amend Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities |
SR-FINRA-2009-003 | Proposed Rule Change to Amend the Customer and Industry Codes |
SR-FINRA-2009-002 | Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730 |
SR-FINRA-2009-001 | Proposed Rule Change to Amend FINRA Rule 7470 |
SR-FINRA-2008-069 | Proposed Rule Change to Amend NASD Rule 3340 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) |
SR-FINRA-2008-068 | Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility |