Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a 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
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay the effective date of paragraphs (c) and (d) of Rule 2821, as approved in SR-NASD-2004-183, until after the Commission has
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
