Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
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
SR-FINRA-2008-067 Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
SR-FINRA-2008-066 Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
SR-FINRA-2008-065 Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine
SR-FINRA-2008-064 Proposed Rule Change to Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) to provide an Alternative Method of Calculating the Current Inside Spread
SR-FINRA-2008-063 Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook
SR-FINRA-2008-062 Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
SR-FINRA-2008-061 Proposed Rule Change to Adopt IM-2110-5 (Anti-Intimidation/Coordination) as FINRA Rule 5240 in the Consolidated FINRA Rulebook Without Material Change
SR-FINRA-2008-060 Proposed Rule Change Relating to Trade Reporting Transfers of Securities Pursuant to an Asset Purchase Agreement
SR-FINRA-2008-059 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