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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2007
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
Fourth Quarter | Third Quarter | First and Second Quarters
FINRA File Number List for 2007
Additional Archives
2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-FINRA-2007-031 |
| 34-57081 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 62 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-032 |
| 34-57080 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 72 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-033 |
| 34-57079 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 82 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-030 |
| 34-57077 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-029 |
| 34-57076 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 42 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-027 |
| 34-57074 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 23 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-028 |
| 34-57073 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 24 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-040 |
| 34-57050 |
Dec. 27, 2007 |
Notice of Filing of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: January 24, 2008
See also: Order: Rel. No. 34-57228
Comments received are available for this notice.
|
SR-FINRA-2007-037 |
| 34-57045 |
Dec. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA’s New York Stock Exchange Rule 409(f)
Comments due: January 24, 2008
|
SR-FINRA-2007-036 |
| 34-57033 |
Dec. 21, 2007 |
Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the Uniform Termination Notice for Securities Industry Registration ("Form U5") and the Uniform Branch Office Form ("Form BR")
Comments due: January 22, 2008
 Submit comments on SR-FINRA-2007-036
|
SR-FINRA-2007-012 |
| 34-57020 |
Dec. 20, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
Comments due: January 18, 2008
See also: Order: Rel. No. 34-59905
Comments received are available for this notice.
|
SR-FINRA-2007-020 |
| 34-57010 |
Dec. 20, 2007 |
Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
Comments due: January 18, 2008
See also: Order: Rel. No. 34-57257
Comments received are available for this notice.
|
SR-FINRA-2007-022 |
| 34-56936 |
Dec. 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's NYSE Rule 342.13 and the General Securities Principal Examination
Comments due: January 7, 2008
|
SR-FINRA-2007-023 |
| 34-56822 |
Nov. 20, 2007 |
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: December 19, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-019 |
| 34-56751 |
Nov. 6, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to NYSE Rule 2
Comments due: December 5, 2007
|
SR-FINRA-2007-008 |
| 34-56742 |
Nov. 5, 2007 |
Order Approving Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
See also: Notice: Rel. No. 34-56585
|
SR-FINRA-2007-007 |
| 34-56709 |
Oct. 26, 2007 |
Order Granting Approval of Proposed Rule Change to Exempt from TRACE Reporting Transactions in TRACE-Eligible Securities Resulting from Certain Derivative-Related Transactions
See also: Notice: Rel. No. 34-56439
|
SR-FINRA-2007-013 |
| 34-56682 |
Oct. 22, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3210 in Light of Amendments to the SEC Regulation SHO Delivery Requirements
Comments due: November 16, 2007
|
SR-FINRA-2007-005 |
| 34-56677 |
Oct. 19, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer's Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service
See also: Notice: Rel. No. 34-56373
|
SR-FINRA-2007-017 |
| 34-56669 |
Oct. 17, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA
Comments due: November 14, 2007
|
SR-FINRA-2007-016 |
| 34-56644 |
Oct. 11, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
Comments due: November 7, 2007
|
SR-FINRA-2007-014 |
| 34-56615 |
Oct. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org
Comments due: November 2, 2007
|
SR-FINRA-2007-008 |
| 34-56585 |
Oct. 1, 2007 |
Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
Comments due: October 26, 2007
See also: Order: Rel. No. 34-56742
Comments received are available for this notice.
|
| Third Quarter |
SR-FINRA-2007-001 |
| 34-56571 |
Sep. 28, 2007 |
Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System
See also: Notice: Rel. No. 34-56199
|
SR-FINRA-2007-015 |
| 34-56491 |
Sep. 21, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Changes in the Functionality of the NASD/NYSE Trade Reporting Facility
Comments due: October 18, 2007
|
SR-FINRA-2007-010 |
| 34-56481 |
Sep. 20, 2007 |
Notice of Filing of Proposed Rule Change 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: October 17, 2007
See also: Notice/Order: Rel. No. 34-57278
Comments received are available for this notice.
|
SR-FINRA-2007-011 |
| 34-56480 |
Sep. 20, 2007 |
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
Comments due: October 17, 2007
See also: Notice/Order: Rel. No. 34-57279
Comments received are available for this notice.
|
SR-FINRA-2007-007 |
| 34-56439 |
Sep. 13, 2007 |
Notice of Filing of Proposed Rule Change Relating to Exemption from Reporting for TRACE-Eligible Securities Transactions Resulting from Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar Instruments
Comments due: October 12, 2007
See also: Order: Rel. No. 34-56709
|
SR-FINRA-2007-005 |
| 34-56373 |
Sep. 7, 2007 |
Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service
Comments due: October 4, 2007
See also: Order: Rel. No. 34-56677
Comments received are available for this notice.
|
SR-FINRA-2007-006 |
| 34-56327 |
Aug. 28, 2007 |
Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data
Comments due: October 1, 2007
See also: Notice/Order: Rel. No. 34-61012
Comments received are available for this notice.
|
SR-FINRA-2007-003 |
| 34-56321 |
Aug. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130
Comments due: September 21, 2007
|
SR-FINRA-2007-002 |
| 34-56265 |
Aug. 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Certain Equity Options
Comments due: September 12, 2007
|
SR-FINRA-2007-001 |
| 34-56199 |
Aug. 3, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System
Comments due: August 30, 2007
See also: Order: Rel. No. 34-56571
|
| First and Second Quarters |
| No releases for these quarters. |
| Release No. |
Date |
Details |
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-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
|
| 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
Comments received are available for this notice.
|
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
|
| 34-57050 |
Dec. 27, 2007 |
Notice of Filing of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: January 24, 2008
Comments received are available for this notice.
|
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)
|
| 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
Comments received are available for this notice.
|
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
|
SR-FINRA-2007-037 |
| 34-57045 |
Dec. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA’s New York Stock Exchange Rule 409(f)
Comments due: January 24, 2008
|
SR-FINRA-2007-036 |
| 34-57033 |
Dec. 21, 2007 |
Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the Uniform Termination Notice for Securities Industry Registration ("Form U5") and the Uniform Branch Office Form ("Form BR")
Comments due: January 22, 2008
Submit comments on SR-FINRA-2007-036
|
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 due: May 30, 2008
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-2007-033 |
| 34-57079 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 82 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-032 |
| 34-57080 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 72 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-031 |
| 34-57081 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 62 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-030 |
| 34-57077 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-029 |
| 34-57076 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 42 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-028 |
| 34-57073 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 24 Examination Program
Comments due: January 29, 2008
|
SR-FINRA-2007-027 |
| 34-57074 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 23 Examination Program
Comments due: January 29, 2008
|
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
|
| 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
|
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-2007-024 |
| 34-60635 |
Sep. 8, 2009 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Rule 2320 Regarding Best Execution and Interpositioning
|
| 34-59788 |
Apr. 17, 2009 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments Involving Best Execution and Interpositioning
Comments due: May 15, 2009
|
SR-FINRA-2007-023 |
| 34-56822 |
Nov. 20, 2007 |
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: December 19, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-022 |
| 34-56936 |
Dec. 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's NYSE Rule 342.13 and the General Securities Principal Examination
Comments due: January 7, 2008
|
SR-FINRA-2007-021 |
| 34-59189 |
Dec. 31, 2008 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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
|
| 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.
|
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
Comments received are available for this notice.
|
| 34-57010 |
Dec. 20, 2007 |
Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
Comments due: January 18, 2008
Comments received are available for this notice. |
SR-FINRA-2007-019 |
| 34-56751 |
Nov. 6, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to NYSE Rule 2
Comments due: December 5, 2007
|
SR-FINRA-2007-017 |
| 34-56669 |
Oct. 17, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA
Comments due: November 14, 2007
|
SR-FINRA-2007-016 |
| 34-56644 |
Oct. 11, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
Comments due: November 7, 2007
|
SR-FINRA-2007-015 |
| 34-56491 |
Sep. 21, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Changes in the Functionality of the NASD/NYSE Trade Reporting Facility
Comments due: October 18, 2007
|
SR-FINRA-2007-014 |
| 34-56615 |
Oct. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org
Comments due: November 2, 2007
|
SR-FINRA-2007-013 |
| 34-56682 |
Oct. 22, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3210 in Light of Amendments to the SEC Regulation SHO Delivery Requirements
Comments due: November 16, 2007
|
SR-FINRA-2007-012 |
| 34-59905 |
May 12, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto to Amend Trade Reporting Rules to Require a Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
|
| 34-57020 |
Dec. 20, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
Comments due: January 18, 2008
Comments received are available for this notice.
|
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
|
| 34-56480 |
Sep. 20, 2007 |
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
Comments due: October 17, 2007
Comments received are available for this notice.
|
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
|
| 34-56481 |
Sep. 20, 2007 |
Notice of Filing of Proposed Rule Change 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: October 17, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-009 |
| 34-60113 |
Jun. 15, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modernize and Simplify NASD Rule 2720
|
| 34-59880 |
May 7, 2009 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modernize and Simplify NASD Rule 2720
Comments due: June 3, 2009
|
SR-FINRA-2007-008 |
| 34-56742 |
Nov. 5, 2007 |
Order Approving Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
|
| 34-56585 |
Oct. 1, 2007 |
Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports
Comments due: October 26, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-007 |
| 34-56709 |
Oct. 26, 2007 |
Order Granting Approval of Proposed Rule Change to Exempt from TRACE Reporting Transactions in TRACE-Eligible Securities Resulting from Certain Derivative-Related Transactions
|
| 34-56439 |
Sep. 13, 2007 |
Notice of Filing of Proposed Rule Change Relating to Exemption from Reporting for TRACE-Eligible Securities Transactions Resulting from Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar Instruments
Comments due: October 12, 2007
|
SR-FINRA-2007-006 |
| 34-61012 |
Nov. 16, 2009 |
Notice of Filing of Amendment Nos. 1, 2, 3, and 4 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4, Relating to Historic TRACE Data
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2007-006
|
| 34-56327 |
Aug. 28, 2007 |
Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data
Comments due: October 1, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-005 |
| 34-56677 |
Oct. 19, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer's Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service
|
| 34-56373 |
Sep. 7, 2007 |
Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service
Comments due: October 4, 2007
Comments received are available for this notice.
|
SR-FINRA-2007-003 |
| 34-56321 |
Aug. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130
Comments due: September 21, 2007
|
SR-FINRA-2007-002 |
| 34-56265 |
Aug. 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program that Increases Position and Exercise Limits for Certain Equity Options
Comments due: September 12, 2007
|
SR-FINRA-2007-001 |
| 34-56571 |
Sep. 28, 2007 |
Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System
|
| 34-56199 |
Aug. 3, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System
Comments due: August 30, 2007
|
http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2007.shtml
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