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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 2012
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| Third Quarter |
SR-FINRA-2012-041 |
| 34-67803 |
Sep. 7, 2012 |
Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
Comments due: October 4, 2012
 Submit comments on SR-FINRA-2012-041
|
SR-FINRA-2012-042 |
| 34-67798 |
Sep. 7, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due: October 4, 2012
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2012-042
|
SR-FINRA-2012-040 |
| 34-67784 |
Sep. 5, 2012 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
Comments due: October 2, 2012
Submit comments on SR-FINRA-2012-040
|
SR-FINRA-2012-026 |
| 34-67778 |
Sep. 4, 2012 |
Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
See also: Notice: Rel. No. 34-67471, and Notice: Rel. No. 34-67085
|
SR-FINRA-2012-025 |
| 34-67774 |
Sep. 4, 2012 |
Order Approving Proposed Rule Change, as modified by Amendment No. 1, to Adopt Existing NASD IM-2110-3 as New FINRA Rule 5270 (Front Running of Block Transactions) with Changes in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-67079
|
SR-FINRA-2012-024 |
| 34-67751 |
Aug. 29, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4210 (Margin Requirements)
Comments due: September 26, 2012
See also: Notice: Rel. No. 34-67088
Submit comments on SR-FINRA-2012-024
|
SR-FINRA-2012-038 |
| 34-67579 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: August 29, 2012
Submit comments on SR-FINRA-2012-038
|
SR-FINRA-2012-037 |
| 34-67578 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend the Effective Date of the Trading Pause Pilot
Comments due: August 29, 2012
Submit comments on SR-FINRA-2012-037
|
SR-FINRA-2009-028 |
| 34-67588 |
Aug. 2, 2012 |
Notice of Withdrawal of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-64969A, Notice: Rel. No. 34-64969, and Notice: Rel. No. 34-59921
|
SR-FINRA-2012-036 |
| 34-67484 |
Jul. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
Comments due: August 17, 2012
Submit comments on SR-FINRA-2012-036
|
SR-FINRA-2012-026 |
| 34-67471 |
Jul. 19, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
See also: Order: Rel. No. 34-67778, and Notice: Rel. No. 34-67085
|
SR-FINRA-2012-035 |
| 34-67449 |
Jul. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 13, 2012
Submit comments on SR-FINRA-2012-035
|
SR-FINRA-2012-034 |
| 34-67427 |
Ju1. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments such as ETFs
Comments due: August 16, 2012
|
SR-FINRA-2012-032 |
| 34-67385 |
Ju1. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility
Comments due: August 6, 2012
|
| Second Quarter |
SR-FINRA-2012-033 |
| 34-67257 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: July 23, 2012
|
SR-FINRA-2012-030 |
| 34-67247 |
Jun. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
Comments due: July 20, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-023 |
| 34-67242 |
Jun. 22, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
See also: Notice: Rel. No. 34-66924
|
SR-FINRA-2012-029 |
| 34-67241 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-031 |
| 34-67240 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-028 |
| 34-67239 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2011-058 |
| 34-67208 |
Jun. 15, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: July 12, 2012
See also: ; Notice: Rel. No. 34-66819; Order: Rel. No. 34-66168; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.
|
SR-FINRA-2012-027 |
| 34-67176 |
Jun. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Comments due: July 6, 2012
|
SR-FINRA-2011-057 |
| 34-67157 |
Jun. 7, 2012 |
Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
Comments due: July 5, 2012
See also: Notice: Rel. No. 34-65585 and Notice: Rel. No. 34-66203
Comments received are available for this proposal.
|
SR-FINRA-2011-054 |
| 34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65430
|
SR-FINRA-2012-024 |
| 34-67088 |
May 31, 2012 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4210 Margin Requirements
Comments due: June 27, 2012
See also: Notice: Rel. No. 34-67551
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-024
|
SR-FINRA-2012-026 |
| 34-67085 |
May 31, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Comments due: June 27, 2012
See also: Order: Rel. No. 34-67778, and Notice: Rel. No. 34-67471
Comments received are available for this proposal.
|
SR-FINRA-2012-018 |
| 34-67082 |
May 31, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt Form CMA
See also: Notice: Rel. No. 34-66508
|
SR-FINRA-2012-025 |
| 34-67079 |
May 30, 2012 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Comments due: June 27, 2012
See also: Order: Rel. No. 34-67774
Comments received are available for this proposal.
|
SR-FINRA-2012-021 |
| 34-67063 |
May 25, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
See also: Notice: Rel. No. 34-66804
|
SR-FINRA-2012-011 |
| 34-67040 |
May 22, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rule 14107 of the Code of Mediation Procedure to Provide the Director of Mediation with Discretion to DetermineWhether Parties to a FINRA Mediation May Select a Mediator Who is Not on FINRA's Mediator Roster
See also: Notice: Rel. No. 34-66441
|
SR-FINRA-2012-023 |
| 34-66924 |
May 4, 2012 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: May 31, 2012
See also: Order: Rel. No. 34-67242
Comments received are available for this proposal.
|
SR-FINRA-2012-012 |
| 34-66913 |
May 3, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
See also: Notice: Rel. No. 34-66442
|
SR-FINRA-2012-001 |
| 34-66872 |
Apr. 27, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: May 24, 2012
See also: Notice: Rel. No. 34-66220
Comments received are available for this proposal.
|
SR-FINRA-2012-020 |
| 34-66829 |
Apr. 18, 2012 |
Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
See also: Notice: Rel. No. 34-66577
|
SR-FINRA-2011-058 |
| 34-66819 |
Apr. 17, 2012 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: May 7, 2012
Additional Materials: Exhibit 5
See also: Notice/Order: Rel No. 34-67208; Notice: Rel. No. 34-66819; Order: Rel. No. 34-66168; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.
|
SR-FINRA-2012-021 |
| 34-66804 |
Apr. 13, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due: May 10, 2012
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-67063
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-021
|
SR-FINRA-2011-075 |
| 34-66774 |
Apr. 9, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 13024 of the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated
Comments due: May 4, 2012
See also: Notice: Rel. No. 34-66109
|
| First Quarter |
SR-FINRA-2011-035 |
| 34-66681 |
Mar. 29, 2012 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendments Nos. 1, 2 and 3, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: April 25, 2012
See also: Notice: Rel. No. 34-66049; Notice/Order: Rel. No. 34-65663; and Notice: Rel. No. 34-64984
Comments received are available for this proposal.
|
SR-FINRA-2011-054 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65430
|
SR-FINRA-2012-020 |
| 34-66577 |
Mar. 12, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due: April 6, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66829
|
SR-FINRA-2011-067 |
| 34-66575 |
Mar 12, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) Relating to Whistleblower Disputes in Arbitration
See also: Notice: Rel. No. 34-65896
|
SR-FINRA-2012-019 |
| 34-66562 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Comments due: April 5, 2012
|
SR-FINRA-2012-017 |
| 34-66555 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
Comments due: April 5, 2012
|
SR-FINRA-2012-014 |
| 34-66528 |
Mar. 7, 2012 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 3, 2012
|
SR-FINRA-2012-015 |
| 34-66527 |
Mar. 7, 2012 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 3, 2012
|
SR-FINRA-2012-016 |
| 34-66513 |
Mar. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules
Comments due: March 30, 2012
|
SR-FINRA-2012-018 |
| 34-66508 |
Mar. 2, 2012 |
Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
Comments due: March 29, 2012
Comments received are available for this proposal.
See also: Notice/Order: Rel. No. 34-67082
|
SR-FINRA-2012-009 |
| 34-66465 |
Feb. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Comments due: March 22, 2012
|
SR-FINRA-2011-073 |
| 34-66454 |
Feb. 23, 2012 |
Order Granting Approval of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
See also: Notice: Rel. No. 34-66080
|
SR-FINRA-2012-012 |
| 34-66442 |
Feb. 22, 2012 |
Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration
Comments due: March 20, 2012
See also: Order: Rel. No. 34-66913
Comments received are available for this proposal.
|
SR-FINRA-2012-011 |
| 34-66441 |
Feb. 22, 2012 |
Notice of Filing of Proposed Rule Change Relating to Mediator Selection
Comments due: March 20, 2012
See also: Order: Rel. No. 34-67040
Comments received are available for this proposal.
|
SR-FINRA-2011-064 |
| 34-66364 |
Feb. 9, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Comments due: March 7, 2012
See also: Notice: Rel. No. 34-65700
|
SR-FINRA-2012-007 |
| 34-66328 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: March 2, 2012
|
SR-FINRA-2012-008 |
| 34-66287 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: February 28, 2012
|
SR-FINRA-2011-059 |
| 34-66279 |
Jan. 30, 2012 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
See also: Notice: Rel. No. 34-65645
|
SR-FINRA-2011-071 |
| 34-66276 |
Jan. 30, 2012 |
Order Granting Approval of a Proposed Rule Change to Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
See also: Notice: Rel. No. 34-66050
|
SR-FINRA-2012-006 |
| 34-66270 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: February 24, 2012
|
SR-FINRA-2012-005 |
| 34-66254 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: February 22, 2012
|
SR-FINRA-2012-003 |
| 34-66244 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due: February 22, 2012
|
SR-FINRA-2012-001 |
| 34-66220 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: February 21, 2012
See also: Notice: Rel. No. 34-66872
Comments received are available for this proposal.
|
SR-FINRA-2011-057 |
| 34-66203 |
Jan. 20, 2012 |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
Comments due: February 27, 2012
Rebuttal comments due: March 12, 2012
See also: Notice: Rel. No. 34-65585 and Notice: Rel. No. 34-67157
Comments received are available for this proposal.
|
SR-FINRA-2011-058 |
| 34-66168 |
Jan. 17, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: February 14, 2012
Rebuttal comments due: February 28, 2012
See also: Notice/Order: Rel. No.34-67208; Notice: Rel. No. 34-66819; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.
|
SR-FINRA-2012-004 |
| 34-66156 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 10, 2012
Comments received are available for this proposal.
|
SR-FINRA-2011-069 |
| 34-66149 |
Jan. 13, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
See also: Notice: Rel. No. 34-65877
Comments received are available for this proposal.
|
SR-FINRA-2011-075 |
| 34-66109 |
Jan. 5, 2012 |
Notice of Filing of Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-66774
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-075
|
SR-FINRA-2011-044 |
| 34-66096 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
See also: Notice: Rel. No. 34-65787
|
SR-FINRA-2011-073 |
| 34-66080 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Comments due: January 30, 2012
See also: Order: Rel. No. 34-66454
Comments received are available for this proposal.
|
| FINRA File Number List for 2012 |
| Release No. |
Date |
Details |
SR-FINRA-2012-042 |
| 34-67798 |
Sep. 7, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due: October 4, 2012
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2012-042
|
SR-FINRA-2012-041 |
| 34-67803 |
Sep. 7, 2012 |
Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
Comments due: October 4, 2012
Submit comments on SR-FINRA-2012-041
|
SR-FINRA-2012-040 |
| 34-67784 |
Sep. 5, 2012 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
Comments due: October 2, 2012
Submit comments on SR-FINRA-2012-040
|
SR-FINRA-2012-038 |
| 34-67579 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: August 29, 2012
Submit comments on SR-FINRA-2012-038
|
SR-FINRA-2012-037 |
| 34-67578 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend the Effective Date of the Trading Pause Pilot
Comments due: August 29, 2012
Submit comments on SR-FINRA-2012-037
|
SR-FINRA-2012-036 |
| 34-67484 |
Jul. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
Comments due: August 17, 2012
Submit comments on SR-FINRA-2012-036
|
SR-FINRA-2012-035 |
| 34-67449 |
Jul. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 13, 2012
Submit comments on SR-FINRA-2012-035
|
SR-FINRA-2012-034 |
| 34-67427 |
Ju1. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments such as ETFs
Comments due: August 16, 2012
|
SR-FINRA-2012-033 |
| 34-67257 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: July 23, 2012
|
SR-FINRA-2012-032 |
| 34-67385 |
Ju1. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility
Comments due: August 6, 2012
|
SR-FINRA-2012-031 |
| 34-67240 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-030 |
| 34-67247 |
Jun. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
Comments due: July 20, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-029 |
| 34-67241 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-028 |
| 34-67239 |
Jun. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Comments due: July 19, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-027 |
| 34-67176 |
Jun. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Comments due: July 6, 2012
|
SR-FINRA-2012-026 |
| 34-67778 |
Sep. 4, 2012 |
Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
|
| 34-67471 |
Jul. 19, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
|
| 34-67085 |
May 31, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Comments due: June 27, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-025 |
| 34-67774 |
Sep. 4, 2012 |
Order Approving Proposed Rule Change, as modified by Amendment No. 1, to Adopt Existing NASD IM-2110-3 as New FINRA Rule 5270 (Front Running of Block Transactions) with Changes in the Consolidated FINRA Rulebook
|
| 34-67079 |
May 30, 2012 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Comments due: June 27, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-024 |
| 34-67751 |
Aug. 29, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4210 (Margin Requirements)
Comments due: September 26, 2012
Submit comments on SR-FINRA-2012-024
|
| 34-67088 |
May 31, 2012 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4210 Margin Requirements
Comments due: June 27, 2012
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-024
|
SR-FINRA-2012-023 |
| 34-67242 |
Jun. 22, 2012 |
Order Granting Approval of a Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
|
| 34-66924 |
May 4, 2012 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: May 31, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-021 |
| 34-67063 |
May 25, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
|
| 34-66804 |
Apr. 13, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due: May 10, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-021
|
SR-FINRA-2012-020 |
| 34-66829 |
Apr. 18, 2012 |
Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
|
| 34-66577 |
Mar. 12, 2012 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due: April 6, 2012
Additional Materials: Exhibit 5
|
SR-FINRA-2012-019 |
| 34-66562 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Comments due: April 5, 2012
|
SR-FINRA-2012-018 |
| 34-67082 |
May 31, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt Form CMA
See also: Notice: Rel. No. 34-66508
|
| 34-66508 |
Mar. 2, 2012 |
Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
Comments due: March 29, 2012
Comments received are available for this proposal.
See also: Notice/Order: Rel. No. 34-67082
|
SR-FINRA-2012-017 |
| 34-66555 |
Mar. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
Comments due: April 5, 2012
|
SR-FINRA-2012-016 |
| 34-66513 |
Mar. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules
Comments due: March 30, 2012
|
SR-FINRA-2012-015 |
| 34-66527 |
Mar. 7, 2012 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 3, 2012
|
SR-FINRA-2012-014 |
| 34-66528 |
Mar. 7, 2012 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 3, 2012
|
SR-FINRA-2012-012 |
| 34-66913 |
May 3, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
|
| 34-66442 |
Feb. 22, 2012 |
Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration
Comments due: March 20, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-011 |
| 34-67040 |
May 22, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rule 14107 of the Code of Mediation Procedure to Provide the Director of Mediation with Discretion to DetermineWhether Parties to a FINRA Mediation May Select a Mediator Who is Not on FINRA's Mediator Roster
|
| 34-66441 |
Feb. 22, 2012 |
Notice of Filing of Proposed Rule Change Relating to Mediator Selection
Comments due: March 20, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-009 |
| 34-66465 |
Feb. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Comments due: March 22, 2012
|
SR-FINRA-2012-008 |
| 34-66287 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: February 28, 2012
|
SR-FINRA-2012-007 |
| 34-66328 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: March 2, 2012
|
SR-FINRA-2012-006 |
| 34-66270 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: February 24, 2012
|
SR-FINRA-2012-005 |
| 34-66254 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: February 22, 2012
|
SR-FINRA-2012-004 |
| 34-66156 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 10, 2012
Comments received are available for this proposal.
|
SR-FINRA-2012-003 |
| 34-66244 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due: February 22, 2012
|
SR-FINRA-2012-001 |
| 34-66872 |
Apr. 27, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: May 24, 2012
|
| 34-66220 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: February 21, 2012
Comments received are available for this proposal.
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http://www.sec.gov/rules/sro/finra.shtml
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