SR-FINRA-2017-003 |
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
SR-FINRA-2017-002 |
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
SR-FINRA-2017-001 |
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2016-048 |
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website |
SR-FINRA-2016-047 |
Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2 |
SR-FINRA-2016-046 |
Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
SR-FINRA-2016-045 |
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems |
SR-FINRA-2016-044 |
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
SR-FINRA-2016-043 |
Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity |
SR-FINRA-2016-042 |
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
SR-FINRA-2016-041 |
Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554 |
SR-FINRA-2016-040 |
Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product |
SR-FINRA-2016-039 |
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) |
SR-FINRA-2016-038 |
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 |
SR-FINRA-2016-037 |
Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility |
SR-FINRA-2016-036 |
Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook |
SR-FINRA-2016-035 |
Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
SR-FINRA-2016-034 |
Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028 |
SR-FINRA-2016-033 |
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration |
SR-FINRA-2016-032 |
Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities |
SR-FINRA-2016-031 |
Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only |
SR-FINRA-2016-030 |
Proposed Rule Change Relating to Motions to Dismiss in Arbitration |
SR-FINRA-2016-029 |
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation |
SR-FINRA-2016-028 |
Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility |
SR-FINRA-2016-027 |
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine |