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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2009

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 2009

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2009-081
34-61253 Dec. 29, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
Comments due:  January 26, 2010
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-61540

SR-FINRA-2009-076
34-61242 Dec. 28, 2009 Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings)
See also:   Notice: Rel. No. 34-61026

SR-FINRA-2009-092
34-61231 Dec. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
Comments due:  January 20, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2009-073
34-61217 Dec. 22, 2009 Notice of Filing of Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  January 20, 2010
See also:   Order: Rel. No. 34-61497
Comments received are available for this notice.

SR-FINRA-2009-087
34-61211 Dec. 18, 2009 Notice of Filing of 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
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-61473

SR-FINRA-2009-089
34-61189 Dec. 17, 2009 Notice of Filing of Proposed FINRA Rule 6490 (Processing of Company-Related Actions), to Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and to Implement Fees for Such Services
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-62434
Comments received are available for this notice.

SR-FINRA-2009-086
34-61171 Dec. 15, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
Comments due:  January 12, 2010
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-61417

SR-FINRA-2009-090
34-61168 Dec. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
Comments due:  January 12, 2010
Additional Materials:   Exhibit 5
See also:   Notice/Order: Rel. No. 34-63895
Comments received are available for this notice.

SR-FINRA-2009-085
34-61165 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
Comments due:  January 11, 2010

SR-FINRA-2009-088
34-61160 Dec. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due:  January 8, 2010

SR-FINRA-2009-083
34-61122 Dec. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
Comments due:  January 4, 2010

SR-FINRA-2009-080
34-61116 Dec. 4, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
Comments due:  January 4, 2010
See also:   Order: Rel. No. 34-61332

SR-FINRA-2009-070
34-61107 Dec. 3, 2009 Notice of Filing of Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 into the Consolidated Rulebook as FINRA Rule 2211
Comments due:  December 30, 2009
Comments received are available for this notice.

SR-FINRA-2009-082
34-61105 Dec. 3, 2009 Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
Comments due:  December 31, 2009
See also:   Order: Rel. No. 34-61359

SR-FINRA-2009-040
34-61090 Dec. 1, 2009 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
Comments due:  December 29, 2009
See also:   Notice: Rel. No. 34-60172
Comments received are available for this notice.

SR-FINRA-2009-078
34-61087 Dec. 1, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules
Comments due:  December 30, 2009

SR-FINRA-2009-084
34-61083 Dec. 1, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
Comments due:  December 29, 2009
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-61338

SR-FINRA-2009-068
34-61080 Dec. 1, 2009 Order Granting Approval of Proposed Rule Change Relating to FINRA’s Rules Governing Clearly Erroneous Executions
See also:   Notice: Rel. No. 34-60851

SR-FINRA-2009-067
34-61071 Nov. 30, 2009 Order Appoving Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60850

SR-FINRA-2009-072
34-61060 Nov. 24, 2009 Notice of Filing of Proposed Rule to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  December 23, 2009
See also:   Order: Rel. No. 34-61311
Comments received are available for this notice.

SR-FINRA-2009-059
34-61059 Nov. 24, 2009 Order Granting Approval of Proposed Rule Change to Adopt NASD Rules 2360 and 2361 into the Consolidated Rulebook as FINRA Rules 2130 and 2270
See also:   Notice: Rel. No. 34-60754

SR-FINRA-2009-075
34-61057 Nov. 24, 2009 Notice of Filing of Proposed Rule Change to Amend the Postponement Fee and Hearing Session Fee Rules of the Code of Arbitration Procedure for Customer and Industry Disputes
Comments due:  December 22, 2009
See also:   Order: Rel. No. 34-61505
Comments received are available for this notice.

SR-FINRA-2009-066
34-61052 Nov. 23, 2009 Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60824

SR-FINRA-2009-057
34-61042 Nov. 20, 2009 Order Granting Approval of a Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
See also:   Notice: Rel. No. 34-60624

SR-FINRA-2009-076
34-61026 Nov. 18, 2009 Notice of Filing of Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
Comments due:  December 16, 2009
See also:   Notice: Rel. No. 34-61242
Comments received are available for this notice.

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:  December 14, 2009
See also:   Notice: Rel. No. 34-56327

SR-FINRA-2009-050
34-61002 Nov. 13, 2009 Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
See also:   Notice: Rel. No. 34-60462

SR-FINRA-2009-077
34-60999 Nov. 13, 2009 Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities
Comments due:  December 14, 2009
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2009-061
34-60960 Nov. 6, 2009 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
Comments due:  December 8, 2009
Additional Materials:   Exhibit 5
See also:   Notice/Order: Rel. No. 34-61819
Comments received are available for this notice.

SR-FINRA-2009-071
34-60963 Nov. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
Comments due:  December 8, 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
See also:   Notice: Rel. No. 34-59273
Comments received are available for this notice.

SR-FINRA-2009-041
34-60878 Oct. 26, 2009 Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes to Implement Conforming Changes
Comments due:  November 23, 2009
See also:   Notice: Rel. No. 34-60159

SR-FINRA-2009-065
34-60860 Oct. 21, 2009 Notice of Filing of Proposed Rule Change to Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE
Comments due:  November 18, 2009
See also:   Notice/Order: Rel. No. 34-61566
Comments received are available for this notice.

SR-FINRA-2009-068
34-60851 Oct. 21, 2009 Notice of Filing of Proposed Rule Change Relating to FINRA’s Rules Governing Clearly Erroneous Executions
Comments due:  November 18, 2009
See also:   Order: Rel. No. 34-61080

SR-FINRA-2009-067
34-60850 Oct. 21, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
Comments due:  November 18, 2009
See also:   Order: Rel. No. 34-61071

SR-FINRA-2009-060
34-60836 Oct. 16, 2009 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
Comments due:  November 12, 2009
See also:   Notice: Rel. No. 34-68386
Comments received are available for this notice.

SR-FINRA-2009-055
34-60835 Oct. 16, 2009 Order Appoving Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
See also:   Notice: Rel. No. 34-60613

SR-FINRA-2009-066
34-60824 Oct. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Comments due:  November 12, 2009
See also:   Order: Rel. No. 34-61052

SR-FINRA-2009-064
34-60807 Oct. 9, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
Comments due:  November 9, 2009
Comments received are available for this notice.

SR-FINRA-2009-062
34-60774 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules
Comments due:  October 29, 2009

SR-FINRA-2009-059
34-60754 Oct. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt NASD Rules 2360 and 2361 into the Consolidated Rulebook as FINRA Rules 2130 and 2270
Comments due:  October 29, 2009
See also:   Order: Rel. No. 34-61059
Third Quarter

SR-FINRA-2009-010
34-60726 Sep. 28, 2009 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 2 Thereto, Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Comments due:  October 23, 2009
See also:   Notice: Rel. No. 34-59733

SR-FINRA-2009-063
34-60722 Sep. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  October 23, 2009

SR-FINRA-2009-014
34-60701 Sep. 21, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60135

SR-FINRA-2009-052
34-60697 Sep. 21, 2009 Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60697

SR-FINRA-2009-058
34-60669 Sep. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f)
Comments due:  October 13, 2009
See also:   34-63150
Comments received are available for this notice.

SR-FINRA-2009-044
34-60659 Sep. 11, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2262 (Disclosure of Control Relationship with Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60330

SR-FINRA-2009-048
34-60648 Sep. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60422

SR-FINRA-2009-039
34-60645 Sep. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60112

SR-FINRA-2009-056
34-60640 Sep. 9, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
Comments due:  October 7, 2009

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
See also:   Notice: Rel. No. 34-59788

SR-FINRA-2009-057
34-60624 Sep. 3, 2009 Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
Comments due:  October 2, 2009
See also:   Order: Rel. No. 34-61042
Comments received are available for this notice.

SR-FINRA-2009-055
34-60613 Sep. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
Comments due:  October 2, 2009
See also:   Order: Rel. No. 34-60835

SR-FINRA-2009-045
34-60560 Aug. 21, 2009 Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
See also:   Notice: Rel. No. 34-60239

SR-FINRA-2009-036
34-60534 Aug. 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 Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook
Comments due:  September 18, 2009
See also:   Notice: Rel. No. 34-60066

SR-FINRA-2009-054
34-60515 Aug. 17, 2009 Notice of Filing of Proposed Rule Change to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
Comments due:  September 16, 2009
See also:   Notice: Rel. No. 34-61677 and Order: Rel. No. 34-62359
Comments received are available for this notice.

SR-FINRA-2009-047
34-60475 Aug. 11, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due:  September 8, 2009
See also:   Notice/Order: Rel. No. 34-61706
Comments received are available for this notice.

SR-FINRA-2009-050
34-60462 Aug. 7, 2009 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due:  September 8, 2009
See also:   Order: Rel. No. 34-61002
Comments received are available for this notice.

SR-FINRA-2009-052
34-60437 Aug. 5, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
Comments due:  September 1, 2009
See also:   Order: Rel. No. 34-60697

SR-FINRA-2009-053
34-60432 Aug. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Comments due:  September 1, 2009

SR-FINRA-2009-049
34-60424 Aug. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative-Investment Banking ("Series 79") Examination Program
Comments due:  August 31, 2009

SR-FINRA-2009-048
34-60422 Aug. 3, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
Comments due:  August 28, 2009
See also:   Order: Rel. No. 34-60648

SR-FINRA-2009-051
34-60414 Jul. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities
Comments due:  August 28, 2009

SR-FINRA-2009-031
34-60377 Jul. 23, 2009 Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
See also:   Notice: Rel. No. 34-60022

SR-FINRA-2009-038
34-60367 Jul. 22, 2009 Order Granting Approval Of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions – Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements – Floor Brokerage) as Part of the Process to Develop the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-60070

SR-FINRA-2009-030
34-60366 Jul. 22, 2009 Order Approving a Proposed Rule Change to Amend Rules 6440 and 6540 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
See also:   Notice: Rel. No. 34-60085

SR-FINRA-2009-046
34-60362 Jul. 22, 2009 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:  August 18, 2009

SR-FINRA-2009-019
34-60348 Jul. 20, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-59784

SR-FINRA-2009-044
34-60330 Jul. 17, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2262 (Disclosure of Control Relationship with Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook
Comments due:  August 14, 2009
See also:   Order: Rel. No. 34-60659

SR-FINRA-2009-035
34-60306 Jul. 14, 2009 Order Approving a Proposed Rule Change to Adopt its Temporary and Permanent Cease and Desist Authority on a Permanent Basis
See also:   Notice: Rel. No. 34-60028

SR-FINRA-2009-045
34-60239 Jul. 2, 2009 Notice of Filing of Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
Comments due:  August 3, 2009
See also:   Order: Rel. No. 34-60560
Second Quarter

SR-FINRA-2009-042
34-60199 Jun. 30, 2009 Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons
Comments due:  July 29, 2009
See also:   Notice/Order: Rel. No. 34-62762
Comments received are available for this notice.

SR-FINRA-2009-040
34-60172 Jun. 25, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
Comments due:  July 27, 2009
See also:   Notice: Rel. No. 34-61090
Comments received are available for this notice.

SR-FINRA-2009-043
34-60168 Jun. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
Comments due:  July 21, 2009

SR-FINRA-2009-041
34-60159 Jun. 22, 2009 Notice of Filing of Proposed Rule Change to Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes to Implement Conforming Changes
Comments due:  July 23, 2009
See also:   Notice/Order: Rel. No. 34-60878
Comments received are available for this notice.

SR-FINRA-2009-014
34-60135 Jun. 18, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook
Comments due:  July 15, 2009
See also:   Order: Rel. No. 34-60701

SR-FINRA-2009-015
34-60132 Jun. 17, 2009 Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases
See also:   Notice: Rel. No. 34-59885

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
See also:   Notice: Rel. No. 34-59880

SR-FINRA-2009-039
34-60112 Jun. 15, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook
Comments due:  July 13, 2009
See also:   Order: Rel. No. 34-60645
Comments received are available for this notice.

SR-FINRA-2009-023
34-60086 Jun. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-59762

SR-FINRA-2009-030
34-60085 Jun. 10, 2009 Notice of Filing of Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
Comments due:  July 8, 2009
See also:   Order: Rel. No. 34-60366

SR-FINRA-2009-038
34-60070 Jun. 8, 2009 Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions – Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements — Floor Brokerage) as Part of the Process to Develop the Consolidated FINRA Rulebook
Comments due:  July 6, 2009
See also:   Order: Rel. No. 34-60367

SR-FINRA-2009-036
34-60066 Jun. 8, 2009 Notice of Filing of Proposed Rule Change to adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
Comments due:  July 6, 2009
See also:   Notice/Order: Rel. No. 34-60534
Comments received are available for this notice.

SR-FINRA-2009-011
34-60061 Jun. 5, 2009 Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes
See also:   Notice: Rel. No. 34-59836

SR-FINRA-2009-034
34-60035 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend FINRA's Authority Under the Cease and Desist Pilot Program
Comments due:  June 30, 2009

SR-FINRA-2009-037
34-60034 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) to Clarify the Scope of the Minimum Price Improvement Obligations
Comments due:  July 1, 2009

SR-FINRA-2009-035
34-60028 Jun. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
Comments due:  June 30, 2009
See also:   Order: Rel. No. 34-60306

SR-FINRA-2009-031
34-60022 Jun. 1, 2009 Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
Comments due:  June 30, 2009
See also:   Order: Rel. No. 34-60377

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
See also:   Notice: Rel. No. 34-59160
Comments received are available for this notice.

SR-FINRA-2009-033
34-60008 May 29, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
Comments due:  June 29, 2009

SR-FINRA-2009-016
34-59987 May 27, 2009 Order Approving Proposed Rule Change as Amended, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-59771

SR-FINRA-2009-012
34-59955 May 22, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Implement an Interim Pilot Program with Respect to Margin Requirements for Certain Transactions in Credit Default Swaps
Comments due:  June 18, 2009
Comments received are available for this notice.

SR-FINRA-2009-020
34-59962 May 21, 2009 Order Approving Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
See also:   Notice: Rel. No. 34-59696

SR-FINRA-2009-018
34-59961 May 21, 2009 Order Granting Approval of Proposed Rule Change to Adopt IM-2830-1 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-59754

SR-FINRA-2009-017
34-59947 May 20, 2009 Order Approving Proposed Rule Change to Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook
See also: Notice: Release No. 34-59745

SR-FINRA-2009-032
34-59946 May 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 (Options) Regarding Position Limits for Options on Exchange-Traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
Comments due:  June 18, 2009

SR-FINRA-2009-028
34-59921 May 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
Comments due:  June 11, 2009
See also:   Notice: Rel. No. 34-67588, Notice: Rel. No. 34-64969, and Notice: Rel. No. 34-64969A
Comments received are available for this notice.

SR-FINRA-2009-008
34-59916 May 13, 2009 Order Approving a Proposed Rule Change as Modified by Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 8312
See also:   Notice: Rel. No. 34-59616

SR-FINRA-2009-013
34-59906 May 12, 2009 Order Granting Approval of Proposed Rule Change to Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also:   Notice: Rel. No. 34-59672

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
See also:   Notice: Rel. No. 34-57020

SR-FINRA-2009-015
34-59885 May 7, 2009 Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases
Comments due:  June 4, 2009
See also:   Order: Rel. No. 34-60132

SR-FINRA-2007-009
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
See also:   Order: Rel. No. 34-60113

SR-FINRA-2009-026
34-59872 May 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Non-Substantive Changes to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes
Comments due:  June 3, 2009

SR-FINRA-2009-011
34-59836 Apr. 28, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes
Comments due:  May 26, 2009
See also:   Order: Rel. No. 34-60061

SR-FINRA-2009-027
34-59805 Apr. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
Comments due:  May 19, 2009

SR-FINRA-2009-009
34-59789 Apr. 20, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-59563

SR-FINRA-2007-024
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
See also:   Order: Rel. No. 34-60635

SR-FINRA-2009-019
34-59784 Apr. 17, 2009 Notice of Filing of Proposed Rule Change to adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
Comments due:  May 15, 2009
See also:   Order: Rel. No. 34-60348
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
See also:   Notice: Rel. No. 34-57920
Comments received are available for this notice.

SR-FINRA-2009-016
34-59771 Apr. 15, 2009 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook
Comments due:  May 13, 2009
See also:   Order: Rel. No. 34-59987

SR-FINRA-2009-004
34-59768 Apr. 14, 2009 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Definition of "TRACE-Eligible Security"
Comments due:  May 12, 2009
See also:   Notice: Rel. No. 34-59519
Comments received are available for this notice.

SR-FINRA-2009-023
34-59762 Apr. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook
Comments due:  May 12, 2009
See also:   Order: Rel. No. 34-60086
Comments received are available for this notice.

SR-FINRA-2009-006
34-59757 Apr. 13, 2009 Order Approving a Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
See also:   Notice: Rel. No. 34-59484

SR-FINRA-2009-018
34-59754 Apr. 13, 2009 Notice of Filing of Proposed Rule Change to Adopt IM-2830-1 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
Comments due:  May 11, 2009
See also:   Order: Rel. No. 34-59961

SR-FINRA-2009-017
34-59745 Apr. 10, 2009 Notice of Filing of Proposed Rule Change to Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook
Comments due:  May 7, 2009
See also: Order: Release No. 34-59947

SR-FINRA-2009-010
34-59733 Apr. 8, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Expand TRACE to Include Agency Debt Securities and Primary Market Transactions
Comments due:  May 7, 2009
Additional Materials:  Proposed Rule Text br>See also:   Notice/Order: Rel. No. 34-60726
Comments received are available for this notice.

SR-FINRA-2009-025
34-59726 Apr. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments made by NYSE
Comments due:  May 5, 2009

SR-FINRA-2009-022
34-59722 Apr. 7, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA’s Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
Comments due:  May 5, 2009

SR-FINRA-2009-021
34-59717 Apr. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
Comments due:  May 5, 2009

SR-FINRA-2009-024
34-59713 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Comments due:  May 5, 2009

SR-FINRA-2009-020
34-59696 Apr. 2, 2009 Notice of Filing of Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
Comments due:  April 29, 2009
See also:   Order: Rel. No. 34-59962

SR-FINRA-2009-013
34-59672 Apr. 1, 2009 Notice of Filing of Proposed Rule Change to Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  April 28, 2009
See also:   Order: Rel. No. 34-59906
Comments received are available for this notice.
First Quarter

SR-FINRA-2009-008
34-59616 Mar. 20, 2009 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5
Comments due:  April 17, 2009
See also:   Order: Rel. No. 34-59916
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
See also:   Notice: Rel. No. 34-59075

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
See also:   Notice: Rel. No. 34-59262

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 See also:   Notice: Rel. No. 34-59253 and Order: Rel. No. 34-59495

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
See also:   Notice: Rel. No. 34-59208

SR-FINRA-2009-009
34-59563 Mar. 12, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
Comments due:  April 9, 2009
See also:   Order: Rel. No. 34-59789

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.

SR-FINRA-2009-004
34-59519 Mar. 5, 2009 Notice of Filing of Proposed Rule Change to Amend the Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities that are Restricted Securities
Comments due:  April 1, 2009
See also:   Notice/Order: Rel. No. 34-59768
Comments received are available for this notice.

SR-FINRA-2008-052
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
See also:   Notice: Rel. No. 34-59253 and Corrected Order

SR-FINRA-2009-007
34-59490 Mar. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Incorporated NYSE Rules 12 (“Business Day”) and 282 (Buy-in Procedures) and to Delete Incorporated NYSE Rule 177 (Delivery Time—“Cash” Contracts) Relating to the Elimination of NYSE Members’ Ability to Enter Orders on the NYSE with Settlement Instructions of “Cash,” “Next Day” and “Seller’s Option”
Comments due:  March 31, 2009

SR-FINRA-2009-006
34-59484 Mar. 2, 2009 Notice of Filing of Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
Comments due:  March 31, 2009
See also:   Order: Rel. No. 34-59757
Comments received are available for this notice.

SR-FINRA-2009-005
34-59432 Feb. 23, 2009 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:  March 23, 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)
See also:   Notice: Rel. No. 34-59138

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
See also:   Notice: Rel. No. 34-58862

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

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
See also:   Notice: Rel. No. 34-59119

SR-FINRA-2009-001
34-59274 Jan. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exemptive Criteria in FINRA Rule 7470
Comments due:  February 23, 2009

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
See also:   Notice/Order: Rel. No. 34-60933
Comments received are available for this notice.

FINRA-2009-003
34-59267 Jan. 16, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Technical Changes to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes
Comments due:  February 4, 2009

SR-FINRA-2008-020
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
See also:   Order: Rel. No. 34-59599
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
See also:   Notice: Rel. No. 34-58905

SR-FINRA-2008-052
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
See also:   Order: Rel. No. 34-59495 and Corrected Order: Rel. No. 34-59495A

SR-FINRA-2009-002
34-59222 Jan. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730 to Reflect Amendments Proposed Pursuant to SR-FINRA-2008-060
Comments due:  February 4, 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-2008-045
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
See also:   Order: Rel. No. 34-59586


FINRA File Number Lists
Release No. Date Details

SR-FINRA-2009-095
34-61537 Feb. 18, 2010 Order Approving Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
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

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

SR-FINRA-2009-093
34-61542 Feb. 18, 2010 Order Approving 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
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

SR-FINRA-2009-092
34-61231 Dec. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
Comments due:  January 20, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2009-090
34-63895 Feb. 11, 2011 Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, As Modified by Amendment No. 1, to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
Comments due:  March 10, 2011
Comments received are available for this notice.
34-61168 Dec. 15, 2009 Notice of Filing of Proposed Rule Change Relating to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
Comments due:  January 12, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2009-089
34-62434 Jul. 1, 2010 Order Approving Proposed FINRA Rule 6490 (Processing of Company-Related Actions) to Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and to Implement Fees for Such Services
34-61189 Dec. 17, 2009 Notice of Filing of Proposed FINRA Rule 6490 (Processing of Company-Related Actions), to Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and to Implement Fees for Such Services
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2009-088
34-61160 Dec. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due:  January 8, 2010

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
34-61211 Dec. 18, 2009 Notice of Filing of 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
Comments due:  January 19, 2010
Additional Materials:   Exhibit 5

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
34-61171 Dec. 15, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
Comments due:  January 12, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2009-085
34-61165 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
Comments due:  January 11, 2010

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
34-61083 Dec. 1, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
Comments due:  December 29, 2009
Additional Materials:   Exhibit 5

SR-FINRA-2009-083
34-61122 Dec. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
Comments due:  January 4, 2010

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
34-61105 Dec. 3, 2009 Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
Comments due:  December 31, 2009

SR-FINRA-2009-081
34-61540 Feb. 18, 2010 Order Approving Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
34-61253 Dec. 29, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
Comments due:  January 26, 2010
Additional Materials:   Exhibit 5

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
34-61116 Dec. 4, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
Comments due:  January 4, 2010

SR-FINRA-2009-078
34-61087 Dec. 1, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules
Comments due:  December 30, 2009

SR-FINRA-2009-077
34-60999 Nov. 13, 2009 Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities
Comments due:  December 14, 2009
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2009-076
34-61242 Dec. 28, 2009 Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings)
34-61026 Nov. 18, 2009 Notice of Filing of Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
Comments due:  December 16, 2009
Comments received are available for this notice.

SR-FINRA-2009-075
34-61505 Feb. 4, 2010 Order Approving Proposed Rule Change to Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
34-61057 Nov. 24, 2009 Notice of Filing of Proposed Rule Change to Amend the Postponement Fee and Hearing Session Fee Rules of the Code of Arbitration Procedure for Customer and Industry Disputes
Comments due:  December 22, 2009
Comments received are available for this notice.

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
34-61217 Dec. 22, 2009 Notice of Filing of Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  January 20, 2010
Comments received are available for this notice.

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
34-61060 Nov. 24, 2009 Notice of Filing of Proposed Rule to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  December 23, 2009
Comments received are available for this notice.

SR-FINRA-2009-071
34-60963 Nov. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
Comments due:  December 8, 2009

SR-FINRA-2009-070
34-61107 Dec. 3, 2009 Notice of Filing of Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 into the Consolidated Rulebook as FINRA Rule 2211
Comments due:  December 30, 2009
Comments received are available for this notice.

SR-FINRA-2009-068
34-61080 Dec. 1, 2009 Order Granting Approval of Proposed Rule Change Relating to FINRA’s Rules Governing Clearly Erroneous Executions
34-60851 Oct. 21, 2009 Notice of Filing of Proposed Rule Change Relating to FINRA’s Rules Governing Clearly Erroneous Executions
Comments due:  November 18, 2009

SR-FINRA-2009-067
34-61071 Nov. 30, 2009 Order Appoving Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
34-60850 Oct. 21, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
Comments due:  November 18, 2009

SR-FINRA-2009-066
34-61052 Nov. 23, 2009 Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
34-60824 Oct. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Comments due:  November 12, 2009

SR-FINRA-2009-065
34-61566 Feb. 22, 2010 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Require the Reporting of Transactions in Asset-Backed Securities to TRACE
Comments due:  March 22, 2010
34-60860 Oct. 21, 2009 Notice of Filing of Proposed Rule Change to Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE
Comments due:  November 18, 2009
Comments received are available for this notice.

SR-FINRA-2009-064
34-60807 Oct. 9, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
Comments due:  November 9, 2009
Comments received are available for this notice.

SR-FINRA-2009-063
34-60722 Sep. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  October 23, 2009

SR-FINRA-2009-062
34-60774 Oct. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules
Comments due:  October 29, 2009

SR-FINRA-2009-061
34-61819 Mar. 31, 2010 Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
Comments due:  April 28, 2010
Comments received are available for this notice.
34-60960 Nov. 6, 2009 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
Comments due:  December 8, 2009
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2009-060
34-68386 Dec. 7, 2012 Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
Comments due: 21 days after publication in the Federal Register
34-60836 Oct. 16, 2009 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
Comments due:  November 12, 2009
Comments received are available for this notice.

SR-FINRA-2009-059
34-61059 Nov. 24, 2009 Order Granting Approval of Proposed Rule Change to Adopt NASD Rules 2360 and 2361 into the Consolidated Rulebook as FINRA Rules 2130 and 2270
34-60754 Oct. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt NASD Rules 2360 and 2361 into the Consolidated Rulebook as FINRA Rules 2130 and 2270
Comments due:  October 29, 2009

SR-FINRA-2009-058
34-63150 Oct. 21, 2010 Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f)
Comments due:  November 17, 2010
34-60669 Sep. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f)
Comments due:  October 13, 2009
Comments received are available for this notice.

SR-FINRA-2009-057
34-61042 Nov. 20, 2009 Order Granting Approval of a Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
34-60624 Sep. 3, 2009 Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
Comments due:  October 2, 2009
Comments received are available for this notice.

SR-FINRA-2009-056
34-60640 Sep. 9, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
Comments due:  October 7, 2009

SR-FINRA-2009-055
34-60835 Oct. 16, 2009 Order Appoving Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
34-60613 Sep. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
Comments due:  October 2, 2009

SR-FINRA-2009-054
34-62359 Jun. 22, 2010 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish in the Market for OTC Equity Securities Certain Regulatory Protections Derived from Certain Rules Adopted by the Commission in the Market for Listed Securities
34-61677 Mar. 9, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
Comments due:  April 6, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.
34-60515 Aug. 17, 2009 Notice of Filing of Proposed Rule Change to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
Comments due:  September 16, 2009
Comments received are available for this notice.

SR-FINRA-2009-053
34-60432 Aug. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
Comments due:  September 1, 2009

SR-FINRA-2009-052
34-60697 Sep. 21, 2009 Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
34-60437 Aug. 5, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
Comments due:  September 1, 2009

SR-FINRA-2009-051
34-60414 Jul. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities
Comments due:  August 28, 2009

SR-FINRA-2009-050
34-61002 Nov. 13, 2009 Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
34-60462 Aug. 7, 2009 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due:  September 8, 2009
Comments received are available for this notice.

SR-FINRA-2009-049
34-60424 Aug. 4, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative-Investment Banking ("Series 79") Examination Program
Comments due:  August 31, 2009

SR-FINRA-2009-048
34-60648 Sep. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
34-60422 Aug. 3, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
Comments due:  August 28, 2009

SR-FINRA-2009-047
34-61706 Mar. 15, 2010 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 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due:  April 12, 2010
34-60475 Aug. 11, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due:  September 8, 2009
Comments received are available for this notice.

SR-FINRA-2009-046
34-60362 Jul. 22, 2009 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:  August 18, 2009

SR-FINRA-2009-045
34-60560 Aug. 21, 2009 Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
34-60239 Jul. 2, 2009 Notice of Filing of Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
Comments due:  August 3, 2009

SR-FINRA-2009-044
34-60659 Sep. 11, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2262 (Disclosure of Control Relationship with Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook
34-60330 Jul. 17, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2262 (Disclosure of Control Relationship with Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook
Comments due:  August 14, 2009

SR-FINRA-2009-043
34-60168 Jun. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
Comments due:  July 21, 2009

SR-FINRA-2009-042
34-62762 Aug. 23, 2010 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 Outside Business Activities of Registered Persons
Comments due:  September 21, 2010
Comments received are available for this notice.
34-60199 Jun. 30, 2009 Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons
Comments due:  July 29, 2009
Comments received are available for this notice.

SR-FINRA-2009-041
34-60878 Oct. 26, 2009 Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes to Implement Conforming Changes
Comments due:  November 23, 2009
34-60159 Jun. 22, 2009 Notice of Filing of Proposed Rule Change to Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes to Implement Conforming Changes
Comments due:  July 23, 2009
Comments received are available for this notice.

SR-FINRA-2009-040
34-61090 Dec. 1, 2009 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
Comments due:  December 29, 2009
Comments received are available for this notice.
34-60172 Jun. 25, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
Comments due:  July 27, 2009
Comments received are available for this notice.

SR-FINRA-2009-039
34-60645 Sep. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook
34-60112 Jun. 15, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook
Comments due:  July 13, 2009
Comments received are available for this notice.

SR-FINRA-2009-038
34-60367 Jul. 22, 2009 Order Granting Approval Of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions – Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements – Floor Brokerage) as Part of the Process to Develop the Consolidated FINRA Rulebook
34-60070 Jun. 8, 2009 Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions – Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements — Floor Brokerage) as Part of the Process to Develop the Consolidated FINRA Rulebook
Comments due:  July 6, 2009

SR-FINRA-2009-037
34-60034 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) to Clarify the Scope of the Minimum Price Improvement Obligations
Comments due:  July 1, 2009

SR-FINRA-2009-036
34-60534 Aug. 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 Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook
Comments due:  September 18, 2009
34-60066 Jun. 8, 2009 Notice of Filing of Proposed Rule Change to adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
Comments due:  July 6, 2009
Comments received are available for this notice.

SR-FINRA-2009-035
34-60306 Jul. 14, 2009 Order Approving a Proposed Rule Change to Adopt its Temporary and Permanent Cease and Desist Authority on a Permanent Basis
34-60028 Jun. 2, 2009 Notice of Filing of Proposed Rule Change to Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
Comments due:  June 30, 2009

SR-FINRA-2009-034
34-60035 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend FINRA's Authority Under the Cease and Desist Pilot Program
Comments due:  June 30, 2009

SR-FINRA-2009-033
34-60008 May 29, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
Comments due:  June 29, 2009

SR-FINRA-2009-032
34-59946 May 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 (Options) Regarding Position Limits for Options on Exchange-Traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
Comments due:  June 18, 2009

SR-FINRA-2009-031
34-60377 Jul. 23, 2009 Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
34-60022 Jun. 1, 2009 Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
Comments due:  June 30, 2009

SR-FINRA-2009-030
34-60366 Jul. 22, 2009 Order Approving a Proposed Rule Change to Amend Rules 6440 and 6540 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
34-60085 Jun. 10, 2009 Notice of Filing of Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
Comments due:  July 8, 2009

SR-FINRA-2009-028
34-67588 Aug. 2, 2012 Notice of Withdrawal of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
34-64969A Oct. 7, 2011 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction
34-64969 Jul. 26, 2011 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
34-59921 May 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
Comments due:  June 11, 2009
Comments received are available for this notice.

SR-FINRA-2009-027
34-59805 Apr. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
Comments due:  May 19, 2009

SR-FINRA-2009-026
34-59872 May 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Non-Substantive Changes to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes
Comments due:  June 3, 2009

SR-FINRA-2009-025
34-59726 Apr. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments made by NYSE
Comments due:  May 5, 2009

SR-FINRA-2009-024
34-59713 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Comments due:  May 5, 2009

SR-FINRA-2009-023
34-60086 Jun. 10, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook
34-59762 Apr. 14, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook
Comments due:  May 12, 2009
Comments received are available for this notice.

SR-FINRA-2009-022
34-59722 Apr. 7, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA’s Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
Comments due:  May 5, 2009

SR-FINRA-2009-021
34-59717 Apr. 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
Comments due:  May 5, 2009

SR-FINRA-2009-020
34-59962 May 21, 2009 Order Approving Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
34-59696 Apr. 2, 2009 Notice of Filing of Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
Comments due:  April 29, 2009

SR-FINRA-2009-019
34-60348 Jul. 20, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
34-59784 Apr. 17, 2009 Notice of Filing of Proposed Rule Change to adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
Comments due:  May 15, 2009
Comments received are available for this notice.

SR-FINRA-2009-018
34-59961 May 21, 2009 Order Granting Approval of Proposed Rule Change to Adopt IM-2830-1 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
34-59754 Apr. 13, 2009 Notice of Filing of Proposed Rule Change to Adopt IM-2830-1 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
Comments due:  May 11, 2009

SR-FINRA-2009-017
34-59947 May 20, 2009 Order Approving Proposed Rule Change to Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook
34-59745 Apr. 10, 2009 Notice of Filing of Proposed Rule Change to Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook
Comments due:  May 7, 2009

SR-FINRA-2009-016
34-59987 May 27, 2009 Order Approving Proposed Rule Change as Amended, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook
34-59771 Apr. 15, 2009 Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook
Comments due:  May 13, 2009

SR-FINRA-2009-015
34-60132 Jun. 17, 2009 Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases
34-59885 May 7, 2009 Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases
Comments due:  June 4, 2009

SR-FINRA-2009-014
34-60701 Sep. 21, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook
34-60135 Jun. 18, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook
Comments due:  July 15, 2009

SR-FINRA-2009-013
34-59906 May 12, 2009 Order Granting Approval of Proposed Rule Change to Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes
34-59672 Apr. 1, 2009 Notice of Filing of Proposed Rule Change to Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes
Comments due:  April 28, 2009
Comments received are available for this notice.

SR-FINRA-2009-012
34-59955 May 22, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Implement an Interim Pilot Program with Respect to Margin Requirements for Certain Transactions in Credit Default Swaps
Comments due:  June 18, 2009
Comments received are available for this notice.

SR-FINRA-2009-011
34-60061 Jun. 5, 2009 Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes
34-59836 Apr. 28, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes
Comments due:  May 26, 2009

SR-FINRA-2009-010
34-60726 Sep. 28, 2009 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 2 Thereto, Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Comments due:  October 23, 2009
34-59733 Apr. 8, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Expand TRACE to Include Agency Debt Securities and Primary Market Transactions
Comments due:  May 7, 2009
Additional Materials:  Proposed Rule Text
Comments received are available for this notice.

SR-FINRA-2009-009
34-59789 Apr. 20, 2009 Order Approving Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
34-59563 Mar. 12, 2009 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
Comments due:  April 9, 2009

SR-FINRA-2009-008
34-59916 May 13, 2009 Order Approving a Proposed Rule Change as Modified by Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 8312
34-59616 Mar. 20, 2009 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5
Comments due:  April 17, 2009
Comments received are available for this notice.

SR-FINRA-2009-007
34-59490 Mar. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Incorporated NYSE Rules 12 (“Business Day”) and 282 (Buy-in Procedures) and to Delete Incorporated NYSE Rule 177 (Delivery Time—“Cash” Contracts) Relating to the Elimination of NYSE Members’ Ability to Enter Orders on the NYSE with Settlement Instructions of “Cash,” “Next Day” and “Seller’s Option”
Comments due:  March 31, 2009

SR-FINRA-2009-006
34-59757 Apr. 13, 2009 Order Approving a Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
34-59484 Mar. 2, 2009 Notice of Filing of Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
Comments due:  March 31, 2009
Comments received are available for this notice.

SR-FINRA-2009-005
34-59432 Feb. 23, 2009 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:  March 23, 2009

SR-FINRA-2009-004
34-59768 Apr. 14, 2009 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Definition of "TRACE-Eligible Security"
Comments due:  May 12, 2009
Comments received are available for this notice.
34-59519 Mar. 5, 2009 Notice of Filing of Proposed Rule Change to Amend the Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities that are Restricted Securities
Comments due:  April 1, 2009
Comments received are available for this notice.

FINRA-2009-003
34-59267 Jan. 16, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Technical Changes to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes
Comments due:  February 17, 2009

SR-FINRA-2009-002
34-59222 Jan. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730 to Reflect Amendments Proposed Pursuant to SR-FINRA-2008-060
Comments due:  February 4, 2009

SR-FINRA-2009-001
34-59274 Jan. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exemptive Criteria in FINRA Rule 7470
Comments due:  February 23, 2009

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2009.shtml


Modified: 05/13/2014