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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2008

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 | Second Quarter | First Quarter

FINRA File Number List for 2008

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

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
See also:  Notice: Rel. No. 34-57497

SR-FINRA-2008-068
34-59183 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due:  January 29, 2009

SR-FINRA-2008-066
34-59175 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
Comments due:  January 29, 2009

SR-FINRA-2008-062
34-59160 Dec. 23, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register
See also:  Notice/Order: Rel. No. 34-60012
Comments received are available for this notice.

SR-FINRA-2008-064
34-59138 Dec. 22, 2008 Notice of Proposed Rule Change to Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)
Comments due:  21 days after publication in the Federal Register
See also:  Order: Rel. No. 34-59382

SR-FINRA-2008-060
34-59126 Dec. 19, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-061
34-59119 Dec. 18, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register
See also:  Order: Rel. No. 34-59335

SR-FINRA-2008-063
34-59108 Dec. 16, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-057
34-59097 Dec. 12, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-044
34-59096 Dec. 12, 2008 Order Granting Approval of Proposed Rule Change Relating to the Supervision of Market Letters
See also:  Notice: Rel. No. 34-58648

SR-FINRA-2008-031
34-59091 Dec. 12, 2008 Order Approving Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
See also:  Notice: Rel. No. 34-58124

SR-FINRA-2008-053
34-59076 Dec. 10, 2008 Order Approving a Proposed Rule Change to Amend Section 4(c) of Schedule A of the FINRA By-Laws to Increase Certain Qualification Examination Fees
See also:  Notice: Rel. No. 34-58832

SR-FINRA-2008-055
34-59075 Dec. 10, 2008 Notice of Proposed Rule Change to Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook
Comments due:  January 6, 2009
See also:  Notice/Order: Rel. No. 34-59605
Comments received are available for this notice.

SR-FINRA-2008-056
34-58937 Nov. 13, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
Comments due:  December 10, 2008
Comments received are available for this notice.

SR-FINRA-2008-011
34-58903A Nov. 13, 2008 Order Approving Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports that Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments Nos. 1 and 2 (Correction)
See also:  Order: Rel. No. 34-58903; Notice: Rel. No. 34-57681

SR-FINRA-2008-032
34-58932 Nov. 12, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due:  December 10, 2008
See also:  Notice: Rel. No. 34-58333
Comments received are available for this notice.

SR-FINRA-2008-046
34-58909 Nov. 6, 2008 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
See also:  Notice: Rel. No. 34-58626

SR-FINRA-2008-054
34-58905 Nov. 6, 2008 Notice of Filing to adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
Comments due:  December 4, 2008
See also:  Order: Rel. No. 34-59254
Comments received are available for this notice.

SR-FINRA-2008-011
34-58903 Nov. 5, 2008 Order Approving Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports that Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments Nos. 1 and 2
See also:  Correction Order: Rel. No. 34-58903A; Notice: Rel. No. 34-57681

SR-FINRA-2008-010
34-58886 Oct. 30, 2008 Order Approving a Proposed Rule Change Amending the Codes of Arbitration Procedure to Establish Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
See also:  Notice: Rel. No. 34-57572

SR-FINRA-2008-051
34-58862 Oct. 27, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
Comments due:  November 21, 2008
See also:  Order: Rel. No. 34-59358
Comments received are available for this notice.

SR-FINRA-2008-053
34-58832 Oct. 22, 2008 Notice of Filing of Proposed Rule Change to Amend Section 4(c) of Schedule A of the FINRA By-Laws to Increase Certain Qualification Examination Fees
Comments due:  November 19, 2008
See also:  Order: Rel. No. 34-59076
Comments received are available for this notice.

SR-FINRA-2008-050
34-58804 Oct. 17, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
Comments due:  November 14, 2008

SR-FINRA-2008-049
34-58754 Oct. 8, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to UPC Advisory on Trading Halts in OTC Equity Securities
Comments due:  November 5, 2008

SR-FINRA-2008-048
34-58753 Oct. 8, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  November 5, 2008

SR-FINRA-2008-005
34-58739 Oct. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rule 12905 of the Code of Arbitration Procedure for Customer Disputes and Rule 13905 of the Code of Arbitration Procedure for Industry Disputes to Permit Submissions Under Limited Circumstances to Arbitrators after a Case has Closed
Comments due:  November 4, 2008
See also:  Notice: Rel. No. 34-57525
Comments received are available for this notice.

SR-FINRA-2008-013
34-58738 Oct. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due:  October 31, 2008
See also:  Notice: Rel. No. 34-57720

SR-FINRA-2008-043
34-58707 Oct. 1, 2008 Order Granting Approval of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
See also:  Notice: Rel. No. 34-58291
Third Quarter

SR-FINRA-2008-030
34-58661 Sept. 26, 2008 Order Approving Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-58118

SR-FINRA-2008-027
34-58660 Sept. 26, 2008 Order Approving Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-58308

SR-FINRA-2008-047
34-58651 Sep. 25, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000
Comments due:  October 23, 2008
See also:  Order: Rel. No. 34-59340
Comments received are available for this notice.

SR-FINRA-2008-044
34-58648 Sep. 25, 2008 Notice of Filing of Proposed Rule Change Relating to the Supervision of Market Letters
Comments due:  October 22, 2008
See also:  Order: Rel. No. 34-59096
Comments received are available for this notice.

SR-FINRA-2008-021
SR-FINRA-2008-022
SR-FINRA-2008-026
SR-FINRA-2008-028
SR-FINRA-2008-029
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
See also:
Notice: Rel. No. 34-58176 (SR-FINRA-2008-021)
Notice: Rel. No. 34-58206 (SR-FINRA-2008-022)
Notice: Rel. No. 34-58245 (SR-FINRA-2008-026)
Notice: Rel. No. 34-58095 (SR-FINRA-2008-028)
Notice: Rel. No. 34-58244 (SR-FINRA-2008-029)

SR-FINRA-2008-046
34-58626 Sep. 23, 2008 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
Comments due:  October 21, 2008
See also:  Order: Rel. No. 34-58909
Comments received are available for this notice.

SR-FINRA-2008-036
34-58533 Sep. 12, 2008 Order Approving Proposed Rule Change Relating to Incorporated NYSE Rules
See also:  Notice: Rel. No. 34-58103

SR-FINRA-2008-040
34-58520 Sep. 11, 2008 Order Approving Proposed Rule Change to Eliminate the Requirement to Report Yield to TRACE and for FINRA to Calculate and Disseminate a Standard Yield
See also:  Notice: Rel. No. 34-58283

SR-FINRA-2008-039
34-58514 Sep. 11, 2008 Order Approving the Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-58302

SR-FINRA-2008-033
34-58461 Sep. 4, 2008 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-58227

SR-FINRA-2008-025
34-58421 Aug. 25, 2008 Order Approving Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-58134

SR-FINRA-2008-032
34-58333 Aug. 8, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due:  September 5, 2008
See also:  Notice/Order: Rel. No. 34-58932
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-032

SR-FINRA-2008-016
34-58331 Aug. 8, 2008 Order Approving a Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
See also:  Notice: Rel. No. 34-57986

SR-FINRA-2008-027
34-58308 Aug. 5, 2008 Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
Comments due:  September 2, 2008
See also:  Order: Rel. No. 34-58660
Comments received are available for this notice.

SR-FINRA-2008-039
34-58302 Aug. 4, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
Comments due:  September 2, 2008
See also:  Order: Rel. No. 34-58514

SR-FINRA-2008-043
34-58291 Aug. 1, 2008 Notice of Filing of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
Comments due:  September 2, 2008
See also:  Order: Rel. No. 34-58707

SR-FINRA-2008-040
34-58283 Aug. 1, 2008 Notice of Filing of Proposed Rule Change to Eliminate of the Requirement to Report Yield to TRACE and for FINRA to Calculate Yield that will be Disseminated by TRACE
Comments due:  August 28, 2008
See also:  Order: Rel. No. 34-58520

SR-FINRA-2008-042
34-58263 Jul. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Portfolio Margin
Comments due:  August 28, 2008

SR-FINRA-2008-041
34-58251 Jul. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Making the Portfolio Margin Pilot Permanent
Comments due:  August 26, 2008

SR-FINRA-2008-026
34-58245 Jul. 29, 2008 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
Comments due:  August 28, 2008
See also:  Order: Rel. No. 34-58643

SR-FINRA-2008-029
34-58244 Jul. 29, 2008 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
Comments due:  August 25, 2008
See also:  Order: Rel. No. 34-58643

SR-FINRA-2008-033
34-58227 Jul. 25, 2008 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
Comments due:  August 21, 2008
See also:  Order: Rel. No. 34-58461

SR-FINRA-2008-037
34-58226 Jul. 25, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 11890 (Clearly Erroneous Transactions)
Comments due:  August 21, 2008

SR-FINRA-2008-035
34-58215 Jul. 23, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Addition of Fees Imposed for the Series 14 and Series 16 Examinations to FINRA's Fee Schedule
Comments due:  August 20, 2008

SR-FINRA-2008-022
34-58206 Jul. 22, 2008 Notice of Filing of Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members
Comments due:  August 18, 2008
See also:  Order: Rel. No. 34-58643

SR-FINRA-2008-021
34-58176 Jul. 16, 2008 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due:  August 13, 2008
See also:  Order: Rel. No. 34-58643

SR-FINRA-2008-034
34-58149 Jul. 11, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Elimination of Certain Fee References in the Incorporated NYSE Rules
Comments due:  August 11, 2008

SR-FINRA-2008-025
34-58134 Jul. 10, 2008 Notice of Filing of Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) in the Consolidated FINRA Rulebook Comments due:  August 6, 2008
See also:  Order: Rel. No. 34-58421
Comments received are available for this notice.

SR-FINRA-2008-031
34-58124 Jul. 9, 2008 Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
Comments due:  August 6, 2008
See also:  Order: Rel. No. 34-59091

SR-FINRA-2008-030
34-58118 Jul. 8, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
Comments due:  August 5, 2008
See also:  Order: Rel. No. 34-58661
Comments received are available for this notice.

SR-FINRA-2007-026
34-58115 Jul. 7, 2008 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto for TRACE to Disseminate Additional Data Elements Relating to Each Transaction
See also:  Notice: Rel. No. 34-57866

SR-FINRA-2008-036
34-58103 Jul. 3, 2008 Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules
Comments due:  August 4, 2008
See also:  Order: Rel. No. 34-58533
Comments received are available for this notice.

SR-FINRA-2008-028
34-58095 Jul. 3, 2008 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
Comments due:  July 31, 2008
See also:  Order: Rel. No. 34-58643
Second Quarter

SR-FINRA-2008-009
34-58004 Jun. 23, 2008 Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
See also:  Notice: Rel. No. 34-57529

SR-FINRA-2008-016
34-57986 Jun. 18, 2008 Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due:  July 17, 2008
See also:  Order: Rel. No. 34-58331
Comments received are available for this notice.

SR-FINRA-2008-023
34-57935 Jun. 6, 2008 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due:  July 7, 2008

SR-FINRA-2008-019
34-57920 Jun. 4, 2008 Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  July 1, 2008
See also:  Notice/Order: Rel. No. 34-59772
Comments received are available for this notice.

SR-FINRA-2007-026
34-57866 May 23, 2008 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt a FINRA Policy to Expand Disseminated Trade Reporting and Compliance Engine (“TRACE”) Data
Comments due:  June 23, 2008
See also:  Order: Rel. No. 34-58115
Comments received are available for this notice.

SR-FINRA-2008-017
34-57820 May 15, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due:  June 13, 2008

SR-FINRA-2007-039
34-57784 May 6, 2008 Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
See also:  Notice: Rel. No. 34-57388

SR-FINRA-2007-035
34-57775 May 5, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to Options Supervision Requirements
Comments received are available for this notice.
Comments due:  May 30, 2008

SR-FINRA-2008-015
34-57769 May 2, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due:  May 29, 2008

SR-FINRA-2007-041
34-57765 May 1, 2008 Order Approving Proposed Rule Change to Amend NASD Rule 7001B to Increase the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
See also:  Notice: Rel. No. 34-57164

SR-FINRA-2008-013
34-57720 Apr. 25, 2008 Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due:  May 23, 2008
See also:  Notice/Order: Rel. No. 34-58738
Comments received are available for this notice.

SR-FINRA-2008-011
34-57681 Apr. 17, 2008 Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due:  May 15, 2008
See also:  Correction Order: Rel. No. 34-58903A; Order: Rel. No. 34-58903
Comments received are available for this notice.

SR-FINRA-2008-012
34-57622 Apr. 4, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due:  May 2, 2008
First Quarter

SR-FINRA-2008-010
34-57572 Mar. 27, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due:  April 24, 2008
See also:  Order: Rel. No. 34-58886
Comments received are available for this notice.

SR-FINRA-2008-009
34-57529 Mar. 19, 2008 Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due:  April 15, 2008
See also:  Order: Rel. No. 34-58004
Comments received are available for this notice.

SR-FINRA-2008-005
34-57525 Mar. 18, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due:  April 15, 2008
See also:  Notice/Order: Rel. No. 34-58739
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-005

SR-FINRA-2007-021
34-57497 Mar. 14, 2008 Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to Dismissals
Comments due:  April 10, 2008
See also:  Order: Rel. No. 34-59189
Comments received are available for this notice.

SR-FINRA-2008-008
34-57480 Mar. 12, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due:  April 8, 2008

SR-FINRA-2008-001
34-57474 Mar. 11, 2008 Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
See also:  Notice: Rel. No. 34-57259

SR-FINRA-2008-006
34-57462 Mar. 10, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due:  April 7, 2008

SR-FINRA-2008-007
34-57413 Mar. 3, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due:  March 28, 2008

SR-FINRA-2007-039
34-57388 Feb. 27, 2008 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
Comments due:  March 20, 2008
See also:  Notice: Rel. No. 34-57784
Comments received are available for this notice.

SR-FINRA-2008-004
34-57299 Feb. 8, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due:  March 7, 2008

SR-FINRA-2007-011
34-57279 Feb. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) Regarding a Member’s Disclosure and Supervisory Review Obligations When it Distributes or Makes Available Third-Party Research Reports
Comments due:  March 4, 2008
See also:  Notice: Rel. No. 34-56480

SR-FINRA-2007-010
34-57278 Feb. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed By a Member’s Foreign Affiliate Who Contribute to the Preparation of a Member’s Research Report.
Comments due:  March 4, 2008
See also:  Notice: Rel. No. 34-56481

SR-FINRA-2008-001
34-57259 Feb. 1, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due:  February 28, 2008
See also:  Order: Rel. No. 34-57474

SR-FINRA-2007-020
34-57257 Feb. 1, 2008 Order Approving Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
See also:  Notice: Rel. No. 34-57010
Comments received are available for this notice.

SR-FINRA-2007-025
34-57252 Feb. 1, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA’s NYSE Rules 421, 440F, and 440G
Comments due:  February 28, 2008

SR-FINRA-2008-002
34-57247 Jan. 31, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due:  February 27, 2008

SR-FINRA-2007-040
34-57228 Jan. 29, 2008 Order Approving Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
See also:  Notice: Rel. No. 34-57050

SR-FINRA-2007-042
34-57225 Jan. 29, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing System
Comments due:  February 25, 2008

SR-FINRA-2008-003
34-57217 Jan. 28, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due:  February 22, 2008

SR-FINRA-2007-041
34-57164 Jan. 17, 2008 Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7001B to Adjust the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
Comments due:  February 14, 2008
See also:  Order: Rel. No. 34-57765
Comments received are available for this notice.

SR-FINRA-2007-034
34-57143 Jan. 14, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
Comments due:  February 12, 2008

SR-FINRA-2007-038
34-57133 Jan. 11, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
Comments due:  February 8, 2008


FINRA File Number Lists
Release No. Date Details

SR-FINRA-2008-068
34-59183 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due:  January 29, 2009

SR-FINRA-2008-067
34-60933 Nov. 4, 2009 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
Comments due:  December 3, 2009
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-067
34-59273 Jan. 22, 2009 Notice of Filing of Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
Comments due:  February 18, 2009
Comments received are available for this notice.

SR-FINRA-2008-066
34-59175 Dec. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
Comments due:  January 29, 2009

SR-FINRA-2008-065
34-59216 Jan. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due:  February 4, 2009

SR-FINRA-2008-064
34-59382 Feb. 11, 2009 Order Approving Proposed Rule Change to Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)
34-59138 Dec. 22, 2008 Notice of Proposed Rule Change to Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order)
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-063
34-59108 Dec. 16, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-062
34-60012 May 29, 2009 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 FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
Comments due:  June 29, 2009
Comments received are available for this notice.
34-59160 Dec. 23, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-062

SR-FINRA-2008-061
34-59335 Feb. 2, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 5240 (Anti-Intimidation / Coordination) in the Consolidated FINRA Rulebook
34-59119 Dec. 18, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-060
34-59126 Dec. 19, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-057
34-59097 Dec. 12, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Comments due:  21 days after publication in the Federal Register

SR-FINRA-2008-056
34-58937 Nov. 13, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
Comments due:  December 10, 2008
Comments received are available for this notice.

SR-FINRA-2008-055
34-59605 Mar. 19, 2009 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook
Comments due:  April 16, 2009
34-59075 Dec. 10, 2008 Notice of Proposed Rule Change to Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook
Comments due:  January 6, 2009
Comments received are available for this notice.

SR-FINRA-2008-054
34-59254 Jan. 15, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
34-58905 Nov. 6, 2008 Notice of Filing to adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
Comments due:  December 4, 2008
Comments received are available for this notice.

SR-FINRA-2008-053
34-59076 Dec. 10, 2008 Order Approving a Proposed Rule Change to Amend Section 4(c) of Schedule A of the FINRA By-Laws to Increase Certain Qualification Examination Fees
34-58832 Oct. 22, 2008 Notice of Filing of Proposed Rule Change to Amend Section 4(c) of Schedule A of the FINRA By-Laws to Increase Certain Qualification Examination Fees
Comments due:  November 19, 2008
Comments received are available for this notice.

SR-FINRA-2008-052
34-59495A Mar. 18, 2009 Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook; Correction
34-59495 Mar. 3, 2009 Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook
34-59253 Jan. 15, 2009 Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook
Comments due:  February 17, 2009

SR-FINRA-2008-051
34-59358 Feb. 4, 2009 Order Approving Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
34-58862 Oct. 27, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
Comments due:  November 21, 2008
Comments received are available for this notice.

SR-FINRA-2008-050
34-58804 Oct. 17, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program
Comments due:  November 14, 2008

SR-FINRA-2008-049
34-58754 Oct. 8, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to UPC Advisory on Trading Halts in OTC Equity Securities
Comments due:  November 5, 2008

SR-FINRA-2008-048
34-58753 Oct. 8, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  November 5, 2008

SR-FINRA-2008-047
34-59340 Feb. 2, 2009 Order Approving Proposed Rule Change to Amend the Codes of Arbitration Procedure to Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000
See also:  Notice: Rel. No. 34-58651
34-58651 Sep. 25, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000
Comments due:  October 23, 2008
Comments received are available for this notice.

SR-FINRA-2008-046
34-58909 Nov. 6, 2008 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
34-58626 Sep. 23, 2008 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
Comments due:  October 21, 2008
Comments received are available for this notice.

SR-FINRA-2008-045
34-59586 Mar. 17, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
34-59208 Jan. 6, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
Comments due:  February 3, 2009

SR-FINRA-2008-044
34-59096 Dec. 12, 2008 Order Granting Approval of Proposed Rule Change Relating to the Supervision of Market Letters
See also:  Notice: Rel. No. 34-58648
34-58648 Sep. 25, 2008 Notice of Filing of Proposed Rule Change Relating to the Supervision of Market Letters
Comments due:  October 22, 2008
Comments received are available for this notice.

SR-FINRA-2008-043
34-58707 Oct. 1, 2008 Order Granting Approval of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
34-58291 Aug. 1, 2008 Notice of Filing of Proposed Rule Change to Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext US LLC Member Organizations
Comments due:  September 2, 2008

SR-FINRA-2008-042
34-58263 Jul. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Portfolio Margin
Comments due:  August 28, 2008

SR-FINRA-2008-041
34-58251 Jul. 30, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Making the Portfolio Margin Pilot Permanent
Comments due:  August 26, 2008

SR-FINRA-2008-040
34-58520 Sep. 11, 2008 Order Approving Proposed Rule Change to Eliminate the Requirement to Report Yield to TRACE and for FINRA to Calculate and Disseminate a Standard Yield
34-58283 Aug. 1, 2008 Notice of Filing of Proposed Rule Change to Eliminate of the Requirement to Report Yield to TRACE and for FINRA to Calculate Yield that will be Disseminated by TRACE
Comments due:  August 28, 2008

SR-FINRA-2008-039
34-58514 Sep. 11, 2008 Order Approving the Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
34-58302 Aug. 4, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M) in the Consolidated FINRA Rulebook
Comments due:  September 2, 2008

SR-FINRA-2008-037
34-58226 Jul. 25, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 11890 (Clearly Erroneous Transactions)
Comments due:  August 21, 2008

SR-FINRA-2008-036
34-58533 Sep. 12, 2008 Order Approving Proposed Rule Change Relating to Incorporated NYSE Rules
34-58103 Jul. 3, 2008 Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules
Comments due:  August 4, 2008
Comments received are available for this notice.

SR-FINRA-2008-035
34-58215 Jul. 23, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Addition of Fees Imposed for the Series 14 and Series 16 Examinations to FINRA's Fee Schedule
Comments due:  August 20, 2008

SR-FINRA-2008-034
34-58149 Jul. 11, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Elimination of Certain Fee References in the Incorporated NYSE Rules
Comments due:  August 11, 2008

SR-FINRA-2008-033
34-58461 Sep. 4, 2008 Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
34-58227 Jul. 25, 2008 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook
Comments due:  August 21, 2008

SR-FINRA-2008-032
34-58932 Nov. 12, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due:  December 10, 2008
Comments received are available for this notice.
34-58333 Aug. 8, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2350 through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants, and Currency Warrants), FINRA Rule 2360 (Options), and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook
Comments due:  September 5, 2008
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-032

SR-FINRA-2008-031
34-59091 Dec. 12, 2008 Order Approving Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
34-58124 Jul. 9, 2008 Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules
Comments due:  August 6, 2008

SR-FINRA-2008-030
34-58661 Sept. 26, 2008 Order Approving Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
34-58118 Jul. 8, 2008 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook
Comments due:  August 5, 2008
Comments received are available for this notice.

SR-FINRA-2008-029
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
Other File Nos.:  SR-FINRA-2008-021, SR-FINRA-2008-022, SR-FINRA-2008-026, SR-FINRA-2008-028
34-58244 Jul. 29, 2008 Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
Comments due:  August 25, 2008

SR-FINRA-2008-028
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
Other File Nos.:  SR-FINRA-2008-021, SR-FINRA-2008-022, SR-FINRA-2008-026, SR-FINRA-2008-029
34-58095 Jul. 3, 2008 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
Comments due:  July 31, 2008

SR-FINRA-2008-027
34-58660 Sept. 26, 2008 Order Approving Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
34-58308 Aug. 5, 2008 Notice of Filing of Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
Comments due:  September 2, 2008
Comments received are available for this notice.

SR-FINRA-2008-026
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
Other File Nos.:  SR-FINRA-2008-021, SR-FINRA-2008-022, SR-FINRA-2008-028, SR-FINRA-2008-029
34-58245 Jul. 29, 2008 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook
Comments due:  August 28, 2008

SR-FINRA-2008-025
34-58421 Aug. 25, 2008 Order Approving Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) in the Consolidated FINRA Rulebook
34-58134 Jul. 10, 2008 Notice of Filing of Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) in the Consolidated FINRA Rulebook Comments due:  August 6, 2008
Comments received are available for this notice.

SR-FINRA-2008-024
34-59534 Mar. 6, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by Financial Industry Regulatory Authority, Inc., Relating to Amendments to the Discovery Guide to Update the Document Production Lists
Comments due:  April 3, 2009
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-024

SR-FINRA-2008-023
34-57935 Jun. 6, 2008 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due:  July 7, 2008

SR-FINRA-2008-022
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
Other File Nos.:  SR-FINRA-2008-021, SR-FINRA-2008-026, SR-FINRA-2008-028, SR-FINRA-2008-029
34-58206 Jul. 22, 2008 Notice of Filing of Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members
Comments due:  August 18, 2008

SR-FINRA-2008-021
34-58643 Sep. 25, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook; Order Approving Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook; Order Approving Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook; and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Repeal NASD Rule 1130 and Incorporated Rules 405A, 440F, 440G and 447 as Part of the Process of Developing the Consolidated FINRA Rulebook
Other File Nos.:  SR-FINRA-2008-022, SR-FINRA-2008-026, SR-FINRA-2008-028, SR-FINRA-2008-029
34-58176 Jul. 16, 2008 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, Relating to the Adoption of NASD Rules 4000 through 10000 Series and the 12000 through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook
Comments due:  August 13, 2008

SR-FINRA-2008-020
34-59599 Mar. 19, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to Private Placements of Securities Issued by Members
34-59262 Jan. 16, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Private Placements of Securities Issued by Members
Comments due:  February 17, 2009
Comments received are available for this notice.

SR-FINRA-2008-019
34-59772 Apr. 15, 2009 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  May 13, 2009
Comments received are available for this notice.
34-57920 Jun. 4, 2008 Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due:  July 1, 2008
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-019

SR-FINRA-2008-017
34-57820 May 15, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due:  June 13, 2008

SR-FINRA-2008-016
34-58331 Aug. 8, 2008 Order Approving a Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
34-57986 Jun. 18, 2008 Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due:  July 17, 2008
Comments received are available for this notice.

SR-FINRA-2008-015
34-57769 May 2, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due:  May 29, 2008

SR-FINRA-2008-013
34-58738 Oct. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due:  October 31, 2008
34-57720 Apr. 25, 2008 Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due:  May 23, 2008
Comments received are available for this notice.

SR-FINRA-2008-012
34-57622 Apr. 4, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due:  May 2, 2008

SR-FINRA-2008-011
34-58903A Nov. 13, 2008 Order Approving Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports that Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments Nos. 1 and 2 (Correction)
34-58903 Nov. 5, 2008 Order Approving Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports that Identify Other Members Who Participated in Agency and Riskless Principal Transactions as Modified by Amendments Nos. 1 and 2
34-57681 Apr. 17, 2008 Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due:  May 15, 2008

SR-FINRA-2008-010
34-58886 Oct. 30, 2008 Order Approving a Proposed Rule Change Amending the Codes of Arbitration Procedure to Establish Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
34-57572 Mar. 27, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due:  April 24, 2008
Comments received are available for this notice.

SR-FINRA-2008-009
34-58004 Jun. 23, 2008 Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
34-57529 Mar. 19, 2008 Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due:  April 15, 2008
Comments received are available for this notice.

SR-FINRA-2008-008
34-57480 Mar. 12, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due:  April 8, 2008

SR-FINRA-2008-007
34-57413 Mar. 3, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due:  March 28, 2008

SR-FINRA-2008-006
34-57462 Mar. 10, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due:  April 7, 2008

SR-FINRA-2008-005
34-58739 Oct. 6, 2008 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rule 12905 of the Code of Arbitration Procedure for Customer Disputes and Rule 13905 of the Code of Arbitration Procedure for Industry Disputes to Permit Submissions Under Limited Circumstances to Arbitrators after a Case has Closed
Comments due:  November 4, 2008
Comments received are available for this notice.
34-57525 Mar. 18, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due:  April 15, 2008
Comments received are available for this notice.
* Submit comments on SR-FINRA-2008-005

SR-FINRA-2008-004
34-57299 Feb. 8, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due:  March 7, 2008

SR-FINRA-2008-003
34-57217 Jan. 28, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due:  February 22, 2008

SR-FINRA-2008-002
34-57247 Jan. 31, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due:  February 27, 2008

SR-FINRA-2008-001
34-57474 Mar. 11, 2008 Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
34-57259 Feb. 1, 2008 Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due:  February 28, 2008

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2008.shtml


Modified: 11/17/2009