SR-FINRA-2014-036 |
Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings |
SR-FINRA-2014-035 |
Proposed Rule Change to Revise the Series 24 Examination Program |
SR-FINRA-2014-034 |
Proposed Rule Change to Revise the Series 23 Examination Program |
SR-FINRA-2014-033 |
Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070 |
SR-FINRA-2014-032 |
Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports |
SR-FINRA-2014-031 |
Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers |
SR-FINRA-2014-030 |
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service |
SR-FINRA-2014-029 |
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2014-028 |
Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator |
SR-FINRA-2014-027 |
Proposed Rule Change Relating to Options Exercise Procedures |
SR-FINRA-2014-026 |
Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees |
SR-FINRA-2014-025 |
Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
SR-FINRA-2014-024 |
Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules |
SR-FINRA-2014-023 |
Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook |
SR-FINRA-2014-022 |
Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046 |
SR-FINRA-2014-021 |
Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
SR-FINRA-2014-020 |
Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) |
SR-FINRA-2014-019 |
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement. |
SR-FINRA-2014-018 |
Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
SR-FINRA-2014-017 |
Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems |
SR-FINRA-2014-016 |
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
SR-FINRA-2014-015 |
Proposed Rule Change to Revise the Series 26 Examination Program |
SR-FINRA-2014-014 |
Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
SR-FINRA-2014-013 |
Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities |
SR-FINRA-2014-012 |
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) |