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Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter | Second Quarter | First Quarter
FINRA File Number List for 2008
Additional Archives
2008 | 2007
NASD
| Release No. |
Date |
Details |
| Third Quarter |
SR-FINRA-2008-040 |
| 34-58520 |
Sep. 11, 2008 |
Order Approving Proposed Rule Change to Eliminate the Requirement to Report Yield to TRACE and for FINRA to Calculate and Disseminate a Standard Yield
See also: Notice: Rel. No. 34-58283
|
SR-FINRA-2008-039 |
| 34-58514 |
Sep. 11, 2008 |
Order Approving the Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-58302
|
SR-FINRA-2008-033 |
| 34-58461 |
Sep. 4, 2008 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-58227
|
SR-FINRA-2008-025 |
| 34-58421 |
Aug. 25, 2008 |
Order Approving Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-58134
|
SR-FINRA-2008-032 |
| 34-58333 |
Aug. 8, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due: September 5, 2008
Comments received are available for this notice.
 Submit comments on SR-FINRA-2008-032
|
SR-FINRA-2008-016 |
| 34-58331 |
Aug. 8, 2008 |
Order Approving a Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
See also: Notice: Rel. No. 34-57986
|
SR-FINRA-2008-027 |
| 34-58308 |
Aug. 5, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
Comments due: September 2, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-027
|
SR-FINRA-2008-039 |
| 34-58302 |
Aug. 4, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
Comments due: September 2, 2008
See also: Order: Rel. No. 34-58514
|
SR-FINRA-2008-043 |
| 34-58291 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
Comments due: September 2, 2008
Submit comments on SR-FINRA-2008-043
|
SR-FINRA-2008-040 |
| 34-58283 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Eliminate of the Requirement to Report Yield to TRACE and for FINRA to Calculate Yield that will be Disseminated by TRACE
Comments due: August 28, 2008
See also: Order: Rel. No. 34-58520
|
SR-FINRA-2008-042 |
| 34-58263 |
Jul. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Portfolio Margin
Comments due: August 28, 2008
Submit comments on SR-FINRA-2008-042
|
SR-FINRA-2008-041 |
| 34-58251 |
Jul. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Making the Portfolio Margin Pilot Permanent
Comments due: August 26, 2008
Submit comments on SR-FINRA-2008-041
|
SR-FINRA-2008-026 |
| 34-58245 |
Jul. 29, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
Comments due: August 28, 2008
Submit comments on SR-FINRA-2008-026
|
SR-FINRA-2008-029 |
| 34-58244 |
Jul. 29, 2008 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
Comments due: August 25, 2008
Submit comments on SR-FINRA-2008-029
|
SR-FINRA-2008-033 |
| 34-58227 |
Jul. 25, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
Comments due: August 21, 2008
See also: Order: Rel. No. 34-58461
|
SR-FINRA-2008-037 |
| 34-58226 |
Jul. 25, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 11890 (Clearly Erroneous Transactions)
Comments due: August 21, 2008
Submit comments on SR-FINRA-2008-037
|
SR-FINRA-2008-035 |
| 34-58215 |
Jul. 23, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Addition of Fees Imposed for the Series 14 and Series 16 Examinations to FINRA's Fee Schedule
Comments due: August 20, 2008
Submit comments on SR-FINRA-2008-035
|
SR-FINRA-2008-022 |
| 34-58206 |
Jul. 22, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members
Comments due: August 18, 2008
Submit comments on SR-FINRA-2008-022
|
SR-FINRA-2008-021 |
| 34-58176 |
Jul. 16, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due: August 13, 2008
Click to submit comments on SR-FINRA-2008-021
|
SR-FINRA-2008-034 |
| 34-58149 |
Jul. 11, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Elimination of Certain Fee References in the Incorporated NYSE Rules
Comments due: August 11, 2008
Submit comments on SR-FINRA-2008-034
|
SR-FINRA-2008-025 |
| 34-58134 |
Jul. 10, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) in the Consolidated FINRA Rulebook
Comments due: August 6, 2008
See also: Order: Rel. No. 34-58421
Comments received are available for this notice.
|
SR-FINRA-2008-031 |
| 34-58124 |
Jul. 9, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
Comments due: August 6, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-031
|
SR-FINRA-2008-030 |
| 34-58118 |
Jul. 8, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
Comments due: August 5, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-030
|
SR-FINRA-2007-026 |
| 34-58115 |
Jul. 7, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto for TRACE to Disseminate Additional Data Elements Relating to Each Transaction
See also: Notice: Rel. No. 34-57866
|
SR-FINRA-2008-036 |
| 34-58103 |
Jul. 3, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules
Comments due: August 4, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-036
|
SR-FINRA-2008-028 |
| 34-58095 |
Jul. 3, 2008 |
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
Comments due: July 31, 2008
Submit comments on SR-FINRA-2008-028
|
| Second Quarter |
SR-FINRA-2008-009 |
| 34-58004 |
Jun. 23, 2008 |
Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
See also: Notice: Rel. No. 34-57529
|
SR-FINRA-2008-016 |
| 34-57986 |
Jun. 18, 2008 |
Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due: July 17, 2008
See also: Order: Rel. No. 34-58331
Comments received are available for this notice.
|
SR-FINRA-2008-023 |
| 34-57935 |
Jun. 6, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due: July 7, 2008
|
SR-FINRA-2008-019 |
| 34-57920 |
Jun. 4, 2008 |
Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 1, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-019
|
SR-FINRA-2007-026 |
| 34-57866 |
May 23, 2008 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt a FINRA Policy to Expand Disseminated Trade Reporting and Compliance Engine (“TRACE”) Data
Comments due: June 23, 2008
See also: Order: Rel. No. 34-58115
Comments received are available for this notice.
|
SR-FINRA-2008-017 |
| 34-57820 |
May 15, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due: June 13, 2008
|
SR-FINRA-2007-039 |
| 34-57784 |
May 6, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
See also: Notice: Rel. No. 34-57388
|
SR-FINRA-2007-035 |
| 34-57775 |
May 5, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to Options Supervision Requirements
Comments received are available for this notice.
Comments due: May 30, 2008
|
SR-FINRA-2008-015 |
| 34-57769 |
May 2, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: May 29, 2008
|
SR-FINRA-2007-041 |
| 34-57765 |
May 1, 2008 |
Order Approving Proposed Rule Change to Amend NASD Rule 7001B to Increase the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
See also: Notice: Rel. No. 34-57164
|
SR-FINRA-2008-013 |
| 34-57720 |
Apr. 25, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due: May 23, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-013
|
SR-FINRA-2008-011 |
| 34-57681 |
Apr. 17, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due: May 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-11
|
SR-FINRA-2008-012 |
| 34-57622 |
Apr. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due: May 2, 2008
|
| First Quarter |
SR-FINRA-2008-010 |
| 34-57572 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due: April 24, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-010
|
SR-FINRA-2008-009 |
| 34-57529 |
Mar. 19, 2008 |
Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due: April 15, 2008
See also: Order: Rel. No. 34-58004
Comments received are available for this notice.
|
SR-FINRA-2008-005 |
| 34-57525 |
Mar. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due: April 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-005
|
SR-FINRA-2007-021 |
| 34-57497 |
Mar. 14, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to Dismissals
Comments due: April 10, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2007-021
|
SR-FINRA-2008-008 |
| 34-57480 |
Mar. 12, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due: April 8, 2008
|
SR-FINRA-2008-001 |
| 34-57474 |
Mar. 11, 2008 |
Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
See also: Notice: Rel. No. 34-57259
|
SR-FINRA-2008-006 |
| 34-57462 |
Mar. 10, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due: April 7, 2008
|
SR-FINRA-2008-007 |
| 34-57413 |
Mar. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due: March 28, 2008
|
SR-FINRA-2007-039 |
| 34-57388 |
Feb. 27, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
Comments due: March 20, 2008
See also: Notice: Rel. No. 34-57784
Comments received are available for this notice.
|
SR-FINRA-2008-004 |
| 34-57299 |
Feb. 8, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due: March 7, 2008
|
SR-FINRA-2007-011 |
| 34-57279 |
Feb. 6, 2008 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) Regarding a Member’s Disclosure and Supervisory Review Obligations When it Distributes or Makes Available Third-Party Research Reports
Comments due: March 4, 2008
See also: Notice: Rel. No. 34-56480
|
SR-FINRA-2007-010 |
| 34-57278 |
Feb. 6, 2008 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed By a Member’s Foreign Affiliate Who Contribute to the Preparation of a Member’s Research Report.
Comments due: March 4, 2008
See also: Notice: Rel. No. 34-56481
|
SR-FINRA-2008-001 |
| 34-57259 |
Feb. 1, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due: February 28, 2008
See also: Order: Rel. No. 34-57474
|
SR-FINRA-2007-020 |
| 34-57257 |
Feb. 1, 2008 |
Order Approving Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
See also: Notice: Rel. No. 34-57010
Comments received are available for this notice.
|
SR-FINRA-2007-025 |
| 34-57252 |
Feb. 1, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA’s NYSE Rules 421, 440F, and 440G
Comments due: February 28, 2008
|
SR-FINRA-2008-002 |
| 34-57247 |
Jan. 31, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due: February 27, 2008
|
SR-FINRA-2007-040 |
| 34-57228 |
Jan. 29, 2008 |
Order Approving Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
See also: Notice: Rel. No. 34-57050
|
SR-FINRA-2007-042 |
| 34-57225 |
Jan. 29, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing System
Comments due: February 25, 2008
|
SR-FINRA-2008-003 |
| 34-57217 |
Jan. 28, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due: February 22, 2008
|
SR-FINRA-2007-041 |
| 34-57164 |
Jan. 17, 2008 |
Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7001B to Adjust the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
Comments due: February 14, 2008
See also: Order: Rel. No. 34-57765
Comments received are available for this notice.
|
SR-FINRA-2007-034 |
| 34-57143 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
Comments due: February 12, 2008
|
SR-FINRA-2007-038 |
| 34-57133 |
Jan. 11, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
Comments due: February 8, 2008
|
| Release No. |
Date |
Details |
SR-FINRA-2008-043 |
| 34-58291 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
Comments due: September 2, 2008
Submit comments on SR-FINRA-2008-043
|
SR-FINRA-2008-042 |
| 34-58263 |
Jul. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Portfolio Margin
Comments due: August 28, 2008
Submit comments on SR-FINRA-2008-042
|
SR-FINRA-2008-041 |
| 34-58251 |
Jul. 30, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Making the Portfolio Margin Pilot Permanent
Comments due: August 26, 2008
Submit comments on SR-FINRA-2008-041
|
SR-FINRA-2008-040 |
| 34-58520 |
Sep. 11, 2008 |
Order Approving Proposed Rule Change to Eliminate the Requirement to Report Yield to TRACE and for FINRA to Calculate and Disseminate a Standard Yield
|
| 34-58283 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Eliminate of the Requirement to Report Yield to TRACE and for FINRA to Calculate Yield that will be Disseminated by TRACE
Comments due: August 28, 2008
|
SR-FINRA-2008-039 |
| 34-58514 |
Sep. 11, 2008 |
Order Approving the Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
|
| 34-58302 |
Aug. 4, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
Comments due: September 2, 2008
|
SR-FINRA-2008-037 |
| 34-58226 |
Jul. 25, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 11890 (Clearly Erroneous Transactions)
Comments due: August 21, 2008
Submit comments on SR-FINRA-2008-037
|
SR-FINRA-2008-036 |
| 34-58103 |
Jul. 3, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules
Comments due: August 4, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-036
|
SR-FINRA-2008-035 |
| 34-58215 |
Jul. 23, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Addition of Fees Imposed for the Series 14 and Series 16 Examinations to FINRA's Fee Schedule
Comments due: August 20, 2008
Submit comments on SR-FINRA-2008-035
|
SR-FINRA-2008-034 |
| 34-58149 |
Jul. 11, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Elimination of Certain Fee References in the Incorporated NYSE Rules
Comments due: August 11, 2008
Submit comments on SR-FINRA-2008-034
|
SR-FINRA-2008-033 |
| 34-58461 |
Sep. 4, 2008 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
|
| 34-58227 |
Jul. 25, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
Comments due: August 21, 2008
|
SR-FINRA-2008-032 |
| 34-58333 |
Aug. 8, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due: September 5, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-032
|
SR-FINRA-2008-031 |
| 34-58124 |
Jul. 9, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
Comments due: August 6, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-031
|
SR-FINRA-2008-030 |
| 34-58118 |
Jul. 8, 2008 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
Comments due: August 5, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-030
|
SR-FINRA-2008-029 |
| 34-58244 |
Jul. 29, 2008 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
Comments due: August 25, 2008
Submit comments on SR-FINRA-2008-029
|
SR-FINRA-2008-028 |
| 34-58095 |
Jul. 3, 2008 |
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
Comments due: July 31, 2008
Submit comments on SR-FINRA-2008-028
|
SR-FINRA-2008-027 |
| 34-58308 |
Aug. 5, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
Comments due: September 2, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-027
|
SR-FINRA-2008-026 |
| 34-58245 |
Jul. 29, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
Comments due: August 28, 2008
Submit comments on SR-FINRA-2008-026
|
SR-FINRA-2008-025 |
| 34-58421 |
Aug. 25, 2008 |
Order Approving Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) in the Consolidated FINRA Rulebook
|
| 34-58134 |
Jul. 10, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) in the Consolidated FINRA Rulebook
Comments due: August 6, 2008
Comments received are available for this notice.
|
SR-FINRA-2008-023 |
| 34-57935 |
Jun. 6, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due: July 7, 2008
|
SR-FINRA-2008-022 |
| 34-58206 |
Jul. 22, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members
Comments due: August 18, 2008
Submit comments on SR-FINRA-2008-022
|
SR-FINRA-2008-021 |
| 34-58176 |
Jul. 16, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due: August 13, 2008
Click to submit comments on SR-FINRA-2008-021
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SR-FINRA-2008-019 |
| 34-57920 |
Jun. 4, 2008 |
Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 1, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-019
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SR-FINRA-2008-017 |
| 34-57820 |
May 15, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due: June 13, 2008
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SR-FINRA-2008-016 |
| 34-58331 |
Aug. 8, 2008 |
Order Approving a Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
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| 34-57986 |
Jun. 18, 2008 |
Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due: July 17, 2008
Comments received are available for this notice.
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SR-FINRA-2008-015 |
| 34-57769 |
May 2, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: May 29, 2008
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SR-FINRA-2008-013 |
| 34-57720 |
Apr. 25, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due: May 23, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-013
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SR-FINRA-2008-012 |
| 34-57622 |
Apr. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due: May 2, 2008
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SR-FINRA-2008-011 |
| 34-57681 |
Apr. 17, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due: May 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-11
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SR-FINRA-2008-010 |
| 34-57572 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due: April 24, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-010
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SR-FINRA-2008-009 |
| 34-58004 |
Jun. 23, 2008 |
Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
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| 34-57529 |
Mar. 19, 2008 |
Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due: April 15, 2008
Comments received are available for this notice.
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SR-FINRA-2008-008 |
| 34-57480 |
Mar. 12, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due: April 8, 2008
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SR-FINRA-2008-007 |
| 34-57413 |
Mar. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due: March 28, 2008
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SR-FINRA-2008-006 |
| 34-57462 |
Mar. 10, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due: April 7, 2008
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SR-FINRA-2008-005 |
| 34-57525 |
Mar. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due: April 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-005
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SR-FINRA-2008-004 |
| 34-57299 |
Feb. 8, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due: March 7, 2008
|
SR-FINRA-2008-003 |
| 34-57217 |
Jan. 28, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due: February 22, 2008
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SR-FINRA-2008-002 |
| 34-57247 |
Jan. 31, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due: February 27, 2008
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SR-FINRA-2008-001 |
| 34-57474 |
Mar. 11, 2008 |
Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
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| 34-57259 |
Feb. 1, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due: February 28, 2008
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http://www.sec.gov/rules/sro/finra.shtml
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