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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
First Quarter
FINRA File Number List for 2010
Additional Archives
2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| First Quarter |
SR-FINRA-2009-073 |
| 34-61497 |
Feb. 4, 2010 |
Order Approving Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also: Notice: Rel. No. 34-61217
|
SR-FINRA-2009-087 |
| 34-61473 |
Feb. 2, 2010 |
Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61211
|
SR-FINRA-2010-002 |
| 34-61427 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2010-002
|
SR-FINRA-2009-086 |
| 34-61417 |
Jan. 25, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61171
|
SR-FINRA-2010-004 |
| 34-61408 |
Jan. 22, 1010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-004
|
SR-FINRA-2010-001 |
| 34-61361 |
Jan. 14, 2010 |
Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-001
|
SR-FINRA-2009-082 |
| 34-61359 |
Jan. 14, 2010 |
Order Approving a Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
See also: Notice: Rel. No. 34-61105
|
SR-FINRA-2009-084 |
| 34-61338 |
Jan. 12, 2010 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61083
|
SR-FINRA-2009-080 |
| 34-61332 |
Jan. 12, 2010 |
Order Approving a Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-61116
|
SR-FINRA-2009-093 |
| 34-61319 |
Jan. 8, 2009 |
Notice of Filing of Proposed Rule Change to Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook
Comments due: February 9, 2010
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2009-093
|
SR-FINRA-2009-072 |
| 34-61311 |
Jan. 7, 2010 |
Order Approving Proposed Rule Change to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also: Notice: Rel. No. 34-61060
|
SR-FINRA-2009-095 |
| 34-61302 |
Jan. 6, 2010 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
Comments due: February 2, 2010
Submit comments on SR-FINRA-2009-095
|
SR-FINRA-2009-094 |
| 34-61297 |
Jan. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 4, 2010
Submit comments on SR-FINRA-2009-094
|
| Release No. |
Date |
Details |
SR-FINRA-2010-004 |
| 34-61408 |
Jan. 22, 1010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-004
|
SR-FINRA-2010-002 |
| 34-61427 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2010-002
|
SR-FINRA-2010-001 |
| 34-61361 |
Jan. 14, 2010 |
Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2010-001
|
http://www.sec.gov/rules/sro/finra.shtml
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