Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2008-021 Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
SR-FINRA-2008-020 Proposed Rule Change to Adopt a New FINRA Rule 5122 to Impose Requirements Regarding Member Private Offerings
SR-FINRA-2008-019 Proposed Rule Change to Amend Certain Provisions of Rule 2821
SR-FINRA-2008-018 Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations
SR-FINRA-2008-017 Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
SR-FINRA-2008-016 Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities
SR-FINRA-2008-015 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
SR-FINRA-2008-014 Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed
SR-FINRA-2008-013 Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
SR-FINRA-2008-012 Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02
SR-FINRA-2008-011 Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
SR-FINRA-2008-010 Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief
SR-FINRA-2008-009 Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SR-FINRA-2008-008 Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership
SR-FINRA-2008-007 Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
SR-FINRA-2008-006 Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
SR-FINRA-2008-005 Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
SR-FINRA-2008-004 Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
SR-FINRA-2008-003 Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility
SR-FINRA-2008-002 Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-FINRA-2008-001 Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws
SR-NASD-2007-057 Proposed Rule Change to Amend an Exemption to Rule 1050 for Certain Foreign Research Analysts
SR-NASD-2007-056 Proposed Rule Change to Establish a Membership Waive-in Process for Certain NYSE Member Organizations
SR-NASD-2007-055 Proposed Amendment to NASD IM-9216 to Expand the List of Violations Eligible for Disposition Under NASD's Minor Rule Violation Plan
SR-NASD-2007-054 Proposed Rule Change to Incorporate Certain NYSE Rules Relating to Member Firm Conduct