Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2015-035 Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2015-033 Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
SR-FINRA-2015-032 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
SR-FINRA-2015-031 Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
SR-FINRA-2015-030 Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
SR-FINRA-2015-029 Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
SR-FINRA-2015-028 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-027 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2015-026 Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
SR-FINRA-2015-025 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
SR-FINRA-2015-024 Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
SR-FINRA-2015-023 Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2015-022 Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
SR-FINRA-2015-021 Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-020 Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
SR-FINRA-2015-019 Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
SR-FINRA-2015-018 Proposed Rule Change to Revise the Series 4 Examination Program
SR-FINRA-2015-017 Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
SR-FINRA-2015-016 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
SR-FINRA-2015-014 Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
SR-FINRA-2015-013 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2015-012 Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
SR-FINRA-2015-011 Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)