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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 2014

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2014-028
34-73277 Oct. 1, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Comments due: 30 days after publication in the Federal Register
Rebuttal comments due: 0 days after publication in the Federal Register
Third Quarter

SR-FINRA-2014-026
34-73245 Sep. 29, 2014 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase Arbitrator Honoraria and Increase Certain Arbitration Fees and Surcharges
See also: Notice: Rel. No. 34-72479

SR-FINRA-2014-038
34-73238 Sep. 26, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-036
34-73230 Sep. 26, 2014 Order Granting Approval of Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
See also: Notice: Rel. No. 34-72854

SR-FINRA-2014-037
34-73210 Sep. 25, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-025
34-73192 Sep. 23, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Inventory Positio
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-036
34-72854 Aug. 15, 2014 Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
Comments due: September 11, 2014
See also: Order: Rel. No. 34-73230

SR-FINRA-2014-035
34-72766 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 24 Examination Program
Comments due: September 2, 2014
Additional Materials: Exhibit 3A

SR-FINRA-2014-034
34-72765 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 23 Examination Program
Comments due: September 2, 2014
Additional Materials: Exhibit 3A

SR-FINRA-2014-020
34-72649 Jul. 22, 2014 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
See also: Notice: Rel. No. 34-71959, Notice: Rel. No. 34-72332, Notice: Rel. No. 34-72332A

SR-FINRA-2014-033
34-72638 Jul. 17, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
Comments due: August 13, 2014

SR-FINRA-2014-006
34-72626 Jul. 16, 2014 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: August 12, 2014
See also: Order: Rel. No. 34-72193Notice: Rel. No. 34-71545

SR-FINRA-2014-032
34-72595 Jul. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
Comments due: August 7, 2014
Additional Materials: Exhibit 5

SR-FINRA-2014-030
34-72575 Jul. 9, 2014 Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
Comments due: August 5, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2014-031
34-72543 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
Comments due: July 31, 2014

SR-FINRA-2014-029
34-72522 Jul. 2, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: July 30, 2014
Second Quarter

SR-FINRA-2014-028
34-72491 Jun. 27, 2014 Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Comments due: July 24, 2014
Comments received are available for this proposal.

SR-FINRA-2014-027
34-72484 Jun. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures
Comments due: July 23, 2014

SR-FINRA-2014-012
34-72480 Jun. 26, 2014 Order Approving Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
See also: Notice: Rel. No. 34-71792

SR-FINRA-2014-026
34-72479 Jun. 26, 2014 Notice of Filing of a Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase Arbitrator Honoraria and Increase Certain Arbitration Fees
Comments due: July 23, 2014
See also: Order: Rel. No. 34-73245
Comments received are available for this proposal.

SR-FINRA-2014-010
34-72459 Jun. 24, 2014 Notice of Withdrawal of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
See also: Notice: Rel. No. 34-71786

SR-FINRA-2014-025
34-72444 Jun. 20, 2014 Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: July 17, 2014
Comments received are available for this proposal.

SR-FINRA-2014-021
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72057

SR-FINRA-2014-020
34-72332A Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
See also: Order: Rel. No. 34-72649, Notice: Rel. No. 34-71959, Notice: Rel. No. 34-72332

SR-FINRA-2014-020
34-72332 Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
See also: Order: Rel. No. 34-72649, Notice: Rel. No. 34-71959, Notice: Rel. No. 34-72332A

SR-FINRA-2014-018
34-72280 May 29, 2014 Order Approving a Proposed Rule Change to Establish a Fee Schedule for Alternative Trading System Volume Information
See also: Notice: Rel. No. 34-71919

SR-FINRA-2014-008
34-72269 May 28, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
Comments due: June 24, 2014
See also: Notice: Rel. No. 34-71608

SR-FINRA-2014-023
34-72208 May 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
Comments due: June 18, 2014

SR-FINRA-2014-005
34-72196 May 20, 2014 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, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Comments due: June 26, 2014
Rebuttal comments due: July 11, 2014
See also: Notice: Rel. No. 34-71534
Comments received are available for this proposal.

SR-FINRA-2014-006
34-72193 May 20, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: June 26, 2014
Rebuttal comments due: July 11, 2014
See also: Notice: Rel. No. 34-72626Notice: Rel. No. 34-71545

SR-FINRA-2014-024
34-72191 May 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of "Reporting Member" in the Order Audit Trail System Rules
Comments due: June 17, 2014

SR-FINRA-2014-004
34-72114 May 7, 2014 Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) As Amended
See also: Notice: Rel. No. 34-71486

SR-FINRA-2013-036
34-72067 May 1, 2014 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Self-Trades and FINRA Rule 5210 (Publication of Transactions and Quotations)
See also: Notice: Rel. No. 34-71636, Notice: Rel. No. 34-70276, Notice: Rel. No. 34-70613, Notice: Rel. No. 34-70966

SR-FINRA-2014-022
34-72066 May 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
Comments due: May 27, 2014

SR-FINRA-2014-021
34-72057 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act") and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, Financial Industry Regulatory Authority, Inc. ("FINRA") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-FINRA-2014-003
34-72033 Apr. 28, 2014 Order Approving a Proposed Rule Change to Amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
See also:  Notice: Rel. No. 34-71642, Notice: Rel. No. 34-71372

SR-FINRA-2014-015
34-71998 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 26 Examination Program
Comments due: May 20, 2014
Additional Materials: Exhibit 3

SR-FINRA-2014-019
34-71981 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement
Comments due: May 16, 2014

SR-FINRA-2014-020
34-71959 Apr. 17, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
Comments due: May 16, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72649, Notice: Rel. No. 34-72332, Notice: Rel. No. 34-72332A
Comments received are available for this proposal.

SR-FINRA-2013-039
34-71927 Apr. 10, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Clarify How Certain Securities Are Classified and Reported to FINRA
See also: Notice: Rel. No. 34-71819, Notice: Rel. No. 34-71629, Notice: Rel. No. 34-71180, Notice: Rel. No. 34-70482

SR-FINRA-2014-018
34-71919 Apr. 9, 2014 Notice of Filing of a Proposed Rule Change to Establish a Fee Schedule for Alternative Trading System Volume Information
Comments due: May 6, 2014
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72280

SR-FINRA-2014-017
34-71911 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
Comments due: May 6, 2014

SR-FINRA-2014-016
34-71868 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross- References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: May 1, 2014
First Quarter

SR-FINRA-2013-039
34-71819 Mar. 27, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Clarify the Classification and Reporting of Certain Securities to FINRA
See also:  Order: Rel. No. 34-71927, Notice: Rel. No. 34-71629, Notice: Rel. No. 34-71180, Notice: Rel. No. 34-70482

SR-FINRA-2014-012
34-71792 Mar. 25, 2014 Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
Comments due: April 21, 2014
Comments received are available for this proposal.
See also: Notice: Rel. No. 34-724880

SR-FINRA-2014-013
34-71781 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2014-010
34-71786 Mar. 24, 2014 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
Comments due: April 18, 2014
See also: Notice: Rel. No. 34-72459
Comments received are available for this proposal.

SR-FINRA-2014-011
34-71720 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6432
Comments due: April 9, 2014
Comments received are available for this proposal.

SR-FINRA-2014-003
34-71642 Mar. 4, 2014 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
See also: Order: Rel. No. 34-72033, Notice: Rel. No. 34-71372

SR-FINRA-2013-036
34-71636 Feb. 28, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
See also:  Order: Rel. No. 34-72067, Notice: Rel. No. 34-70276, Notice: Rel. No. 34-70613, Notice: Rel. No. 34-70966

SR-FINRA-2013-039
34-71629 Feb. 27, 2014 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: March 26, 2014
See also:  Order: Rel. No. 34-71927, Notice: Rel. No. 34-71180, Notice: Rel. No. 34-70482

SR-FINRA-2013-051
34-71626 Feb. 27, 2014 Order Approving Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
See also:  Notice: Rel. No. 34-71373, Notice: Rel. No. 34-71027

SR-FINRA-2014-009
34-71625 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
Comments due: March 26, 2014

SR-FINRA-2013-050
34-71623 Feb. 27, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: March 26, 2014
See also:  Notice: Rel. No. 34-71262, Notice: Rel. No. 34-70924

SR-FINRA-2014-008
34-71608 Feb. 24, 2014 Notice of Filing of Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
Comments due: March 21, 2014
See also: Notice: Rel. No. 34-72269
Comments received are available for this proposal.

SR-FINRA-2013-046
34-71607 Feb. 24, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities
Comments due: March 21, 2014
See also:  Notice: Rel. No. 34-71282, Notice: Rel. No. 34-70906
Comments received are available for this proposal.

SR-FINRA-2013-054
34-71575 Feb. 19, 2014 Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan
See also:  Notice: Rel. No. 34-71224

SR-FINRA-2014-006
34-71545 Feb. 12, 2014 Notice of Filing of Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: March 12, 2014
See also: Notice: Rel. No. 34-72626Order: Rel. No. 34-72193
Comments received are available for this proposal.

SR-FINRA-2014-005
34-71534 Feb. 12, 2014 Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Comments due: March 12, 2014
See also:  Notice: Rel. No. 34-72196
Comments received are available for this proposal.

SR-FINRA-2014-007
34-71528 Feb. 12, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2014-004
34-71486 Feb. 5, 2014 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements)
Comments due: March 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72114

SR-FINRA-2013-053
34-71467 Feb. 3, 2014 Order Approving a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
See also:  Notice: Rel. No. 34-71147

SR-FINRA-2013-052
34-71457 Jan. 31, 2014 Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant
See also:  Notice: Rel. No. 34-71042

SR-FINRA-2013-031
34-71407 Jan. 27, 2014 Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility
See also:  Order: Rel. No. 34-70776, Notice: Rel. No. 34-70358, Notice: Rel. No. 34-70048

SR-FINRA-2013-051
34-71373 Jan. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
See also:  Order: Rel. No. 34-71626, Notice: Rel. No. 34-71027

SR-FINRA-2014-003
34-71372 Jan. 23, 2014 Notice of Filing of a Proposed Rule Change to amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
Comments due: February 19, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-72033, Notice: Rel. No. 34-71642

SR-FINRA-2014-002
34-71350 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 7640A
Comments due: February 14, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-042
34-71341 Jan. 17, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: February 14, 2014
See also:  Notice: Rel. No. 34-70676

SR-FINRA-2014-001
34-71287 Jan. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 6, 2014

SR-FINRA-2013-046
34-71282 Jan. 10, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
See also:  Notice: Rel. No. 34-71607, Notice: Rel. No. 34-70906

SR-FINRA-2013-056
34-71272 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials), Which Includes Fees for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establish a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-050
34-71262 Jan. 9, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
See also:  Notice: Rel. No. 34-71623, Notice: Rel. No. 34-70924

SR-FINRA-2013-055
34-71231 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 2360 (Options) Position Limits
Comments due: January 29, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-054
34-71224 Jan. 2, 2014 Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan
Comments due: January 29, 2014
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71575


FINRA File Number List for 2014
Release No. Date Details

SR-FINRA-2014-038
34-73238 Sep. 26, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-037
34-73210 Sep. 25, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-036
34-73230 Sep. 26, 2014 Order Granting Approval of Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
34-72854 Aug. 15, 2014 Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
Comments due: September 11, 2014

SR-FINRA-2014-035
34-72766 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 24 Examination Program
Comments due: September 2, 2014
Additional Materials: Exhibit 3A

SR-FINRA-2014-034
34-72765 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 23 Examination Program
Comments due: September 2, 2014
Additional Materials: Exhibit 3A

SR-FINRA-2014-033
34-72638 Jul. 17, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
Comments due: August 13, 2014

SR-FINRA-2014-032
34-72595 Jul. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
Comments due: August 7, 2014
Additional Materials: Exhibit 5

SR-FINRA-2014-031
34-72543 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
Comments due: July 31, 2014

SR-FINRA-2014-030
34-72575 Jul. 9, 2014 Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
Comments due: August 5, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2014-029
34-72522 Jul. 2, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: July 30, 2014

SR-FINRA-2014-028
34-73277 Oct. 1, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Comments due: 30 days after publication in the Federal Register
Rebuttal comments due: 0 days after publication in the Federal Register

SR-FINRA-2014-028
34-72491 Jun. 27, 2014 Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Comments due: July 24, 2014
Comments received are available for this proposal.

SR-FINRA-2014-027
34-72484 Jun. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures
Comments due: July 23, 2014

SR-FINRA-2014-026
34-73245 Sep. 29, 2014 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase Arbitrator Honoraria and Increase Certain Arbitration Fees and Surcharges
34-72479 Jun. 26, 2014 Notice of Filing of a Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase Arbitrator Honoraria and Increase Certain Arbitration Fees
Comments due: July 23, 2014
Comments received are available for this proposal.

SR-FINRA-2014-025
34-73192 Sep. 23, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Inventory Positio
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2014-025
34-72444 Jun. 20, 2014 Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: July 17, 2014
Comments received are available for this proposal.

SR-FINRA-2014-024
34-72191 May 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of "Reporting Member" in the Order Audit Trail System Rules
Comments due: June 17, 2014

SR-FINRA-2014-023
34-72208 May 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
Comments due: June 18, 2014

SR-FINRA-2014-022
34-72066 May 1, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
Comments due: May 27, 2014

SR-FINRA-2014-021
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72057 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act") and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, Financial Industry Regulatory Authority, Inc. ("FINRA") filed with the Securities and Exchange Commission ("SEC" or "Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-FINRA-2014-020
34-72649 Jul. 22, 2014 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
See also: Notice: Rel. No. 34-72649, Notice: Rel. No. 34-71959, Notice: Rel. No. 34-72332, Notice: Rel. No. 34-72332A
34-72332A Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
34-72332 Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information
34-71959 Apr. 17, 2014 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
Comments due: May 16, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2014-019
34-71981 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement
Comments due: May 16, 2014

SR-FINRA-2014-018
34-72280 May 29, 2014 Order Approving a Proposed Rule Change to Establish a Fee Schedule for Alternative Trading System Volume Information
34-71919 Apr. 9, 2014 Notice of Filing of a Proposed Rule Change to Establish a Fee Schedule for Alternative Trading System Volume Information
Comments due: May 6, 2014
Comments received are available for this proposal.

SR-FINRA-2014-017
34-71911 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
Comments due: May 6, 2014

SR-FINRA-2014-016
34-71868 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross- References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: May 1, 2014

SR-FINRA-2014-015
34-71998 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 26 Examination Program
Comments due: May 20, 2014
Additional Materials: Exhibit 3

SR-FINRA-2014-013
34-71781 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2014-012
34-72480 Jun. 26, 2014 Order Approving Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
34-71792 Mar. 25, 2014 Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
Comments due: April 21, 2014
Comments received are available for this proposal.

SR-FINRA-2014-011
34-71720 Mar. 13, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6432
Comments due: April 9, 2014
Comments received are available for this proposal.

SR-FINRA-2014-010
34-72459 Jun. 24, 2014 Notice of Withdrawal of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
34-71786 Mar. 24, 2014 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
Comments due: April 18, 2014
Comments received are available for this proposal.

SR-FINRA-2014-009
34-71625 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
Comments due: March 26, 2014

SR-FINRA-2014-008
34-72269 May 28, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
Comments due: June 24, 2014
34-71608 Feb. 24, 2014 Notice of Filing of Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
Comments due: March 21, 2014
Comments received are available for this proposal.

SR-FINRA-2014-007
34-71528 Feb. 12, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2014-006
34-72626 Jul. 16, 2014 Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: August 12, 2014
34-72193 May 20, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: June 26, 2014
Rebuttal comments due: July 11, 2014
34-71545 Feb. 12, 2014 Notice of Filing of Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Comments due: March 12, 2014
Comments received are available for this proposal.

SR-FINRA-2014-005
34-72196 May 20, 2014 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, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Comments due: June 26, 2014
Rebuttal comments due: July 11, 2014
Comments received are available for this proposal.
34-71534 Feb. 12, 2014 Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Comments due: March 12, 2014
Comments received are available for this proposal.

SR-FINRA-2014-004
34-72114 May 7, 2014 Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) As Amended
34-71486 Feb. 5, 2014 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements)
Comments due: March 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2014-003
34-72033 Apr. 28, 2014 Order Approving a Proposed Rule Change to Amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
34-71642 Mar. 4, 2014 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
34-71372 Jan. 23, 2014 Notice of Filing of a Proposed Rule Change to amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules
Comments due: February 19, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2014-002
34-71350 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 7640A
Comments due: February 14, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2014-001
34-71287 Jan. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 6, 2014

 

http://www.sec.gov/rules/sro/finra.shtml


Modified: 10/01/2014