SR-FINRA-2013-042 |
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers |
SR-FINRA-2013-041 |
Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 |
SR-FINRA-2013-040 |
Proposed Rule Change to Amend FINRA Rule 7730(c) to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot |
SR-FINRA-2013-039 |
Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA |
SR-FINRA-2013-038 |
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
SR-FINRA-2013-037 |
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) |
SR-FINRA-2013-036 |
Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) |
SR-FINRA-2013-035 |
Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook |
SR-FINRA-2013-034 |
Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens |
SR-FINRA-2013-033 |
Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan. |
SR-FINRA-2013-032 |
Proposed Rule Change to Revise the Series 16 Examination Program |
SR-FINRA-2013-031 |
Proposed Rule Change Relating to Participation on the Alternative Display Facility |
SR-FINRA-2013-030 |
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
SR-FINRA-2013-029 |
Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A |
SR-FINRA-2013-028 |
Proposed Rule Change to Revise the Series 55 Examination Program |
SR-FINRA-2013-027 |
Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options |
SR-FINRA-2013-026 |
Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) |
SR-FINRA-2013-025 |
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
SR-FINRA-2013-024 |
Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings |
SR-FINRA-2013-023 |
Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators |
SR-FINRA-2013-022 |
Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions |
SR-FINRA-2013-021 |
Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions) |
SR-FINRA-2013-020 |
Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange |
SR-FINRA-2013-019 |
Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
SR-FINRA-2013-018 |
Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) |