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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
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| 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.
 Submit comments on SR-FINRA-2009-070
|
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.
Submit comments on SR-FINRA-2009-040
|
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.
Submit comments on SR-FINRA-2009-077
|
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.
Submit comments on SR-FINRA-2009-060
|
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.
Submit comments on SR-FINRA-2009-054
|
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.
Submit comments on SR-FINRA-2009-040
|
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.
Submit comments on SR-FINRA-2008-024
|
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.
Submit comments on SR-FINRA-2009-004
|
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
|
| 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.
Submit comments on SR-FINRA-2009-077
|
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.
Submit comments on SR-FINRA-2009-070
|
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: January 3, 2013
|
| 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.
Submit comments on SR-FINRA-2009-060
|
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.
Submit comments on SR-FINRA-2009-054
|
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.
Submit comments on 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
Comments received are available for this notice.
Submit comments on SR-FINRA-2009-040
|
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.
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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
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| 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
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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
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| 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.
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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
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| 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
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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
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| 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.
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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
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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
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| 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.
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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
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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.
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| 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.
Submit comments on SR-FINRA-2009-004
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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
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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
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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
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http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2009.shtml
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