Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
SR-FINRA-2009-030 - Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
SR-FINRA-2009-029 - Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-028 - Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
