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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2010

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 2010

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2010-055
34-63582 Dec. 21, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
See also:  Order: Rel. No. 34-63885; Notice: Rel. No. 34-63256

SR-FINRA-2010-066
34-63561 Dec. 16, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
Comments due:  January 12, 2011
Additional Materials:   Exhibit 5

SR-FINRA-2010-064
34-63503 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due:  January 5, 2011

SR-FINRA-2010-065
34-63483 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due:  January 5, 2011

SR-FINRA-2010-063
34-63391 Nov. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  December 27, 2010

SR-FINRA-2010-062
34-63383 Nov. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042 (Verification of Assets)
Comments due:  December 27, 2010

SR-FINRA-2010-061
34-63375 Nov. 24, 2010 Notice of Filing of Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
Comments due:  December 22, 2010
See also:  Notice/Order: Rel. No. 34-63999
Comments received are available for this notice.

SR-FINRA-2010-057
34-63373 Nov. 24, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
Comments due:  December 22, 2010
Comments received are available for this notice.

SR-FINRA-2010-059
34-63331 Nov. 17, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
Comments due:  December 17, 2010
See also:  Order: Rel. No. 34-63961
Comments received are available for this notice.

SR-FINRA-2010-039
34-63325 Nov. 17, 2010 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 Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
Comments due:  December 14, 2010
See also:  Correction Notice: Rel. No. 34-62718A; Notice: Rel. No. 34-62718
Comments received are available for this notice.

SR-FINRA-2010-060
34-63319 Nov. 16, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  December 13, 2010

SR-FINRA-2010-056
34-63316 Nov. 15, 2010 Notice of Filing of Proposed Rule Change to adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend FINRA Rule 9520 Series (Eligibility Proceedings)
Comments due:  December 13, 2010
See also:  Order: Rel. No. 34-63933
Comments received are available for this notice.

SR-FINRA-2010-044
34-63311 Nov. 12, 2010 Order Approving a Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
See also:  Notice: Rel. No. 34-62739

SR-FINRA-2010-058
34-63277 Nov. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
Comments due:  December 6, 2010

SR-FINRA-2010-034
34-63260 Nov. 5, 2010 Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Comments due:  December 3, 2010
See also:  Notice: Rel. No. 34-62621
Comments received are available for this notice.

SR-FINRA-2010-055
34-63256 Nov. 5, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Comments due:  December 3, 2010
Additional Materials:   Exhibit 5
See also:  Notice: Rel. No. 34-63582; Order: Rel. No. 34-63885
Comments received are available for this notice.

SR-FINRA-2010-049
34-63255 Nov. 5, 2010 Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, to Enhance the Quotation Standards for Market Makers
Additional File Nos.:  SR-BATS-2010-025; SR-BX-2010-66; SR-CBOE-2010-087; SR-CHX-2010-22; SR-NASDAQ-2010-115; SR-NSX-2010-12; SR-NYSE-2010-69; SR-NYSEAmex-2010-96; SR-NYSEArca-2010-83
See also:  Notice: Rel. No. 34-62953

SR-FINRA-2010-053
34-63250 Nov. 5, 2010 Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes
Additional Materials:   Amendment No. 1
Comments due:  December 3, 2010
See also:  Notice/Order: Rel. No. 34-63799
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-053

SR-FINRA-2010-054
34-63223 Nov. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operational Date of SR-FINRA-2009-065
Comments due:  November 29, 2010

SR-FINRA-2010-046
34-63196 Oct. 27, 2010 Order Approving Proposed Rule Change to Remove the Exemption From the Trading Activity Fee for Transactions in Exchange Listed Options Effected by a Member When FINRA is not the Designated Options Examining Authority for that Member
See also:  Notice: Rel. No. 34-62927

SR-FINRA-2010-052
34-63181 Oct. 26, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
Comments due:  November 22, 2010
See also:  Order: Rel. No. 34-63784
Comments received are available for this notice.

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
See also:  34-60669

SR-FINRA-2010-051
34-63039 Oct. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
Comments due:  November 3, 2010

SR-FINRA-2010-050
34-63046 Oct. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims
Comments due:  November 3, 2010
Comments received are available for this notice.

SR-FINRA-2010-042
34-63044 Oct. 5, 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 FINRA Rule 4160 (Verification of Assets)
Comments due:  November 3, 2010
See also:  Notice: Rel. No. 34-62655
Comments received are available for this notice.

SR-FINRA-2010-043
34-63032 Oct. 4, 2010 Order Approving a Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
See also:  Notice: Rel. No. 34-62748
Third Quarter

SR-FINRA-2010-021
34-63016 Sep. 29, 2010 Order Approving Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
See also:  Notice: Rel. No. 34-62318

SR-FINRA-2010-048
34-62995 Sep. 27, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
Comments due:  October 22, 2010

SR-FINRA-2010-047
34-62983 Sep. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  October 20, 2010

SR-FINRA-2010-037
34-62970 Sep. 22, 2010 Order Approving the Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
See also:  Notice: Rel. No. 34-62664

SR-FINRA-2010-049
34-62953 Sep. 20, 2010 Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility
Comments due:  October 18, 2010
See also:  Order: Rel. No. 34-63255

SR-FINRA-2010-036
34-62930 Sep. 17, 2010 Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals
Comments due:  October 14, 2010
See also:  Notice: Rel. No. 34-64954
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-036

SR-FINRA-2010-046
34-62927 Sep. 17, 2010 Notice of Filing of Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
Comments due:  October 14, 2010
See also:  Order: Rel. No. 34-63196

SR-FINRA-2010-032
34-62885 Sep. 10, 2010 Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Transactions
See also:  Notice: Rel. No. 34-62798; Notice: Rel. No. 34-62729; Notice: Rel. No. 34-62341

SR-FINRA-2010-033
34-62883 Sep. 10, 2010 Order Approving Proposed Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
See also:  Notice: Rel. No. 34-62763; Notice: Rel. No. 34-62688A; Notice: Rel. No. 34-62416

SR-FINRA-2010-030
34-62842 Sep. 3, 2010 Order Granting Approval of a Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-62454

SR-FINRA-2010-032
34-62798 Aug. 30, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
See also:  Order: Rel. No. 34-62885; Notice: Rel. No. 34-62729; Notice: Rel. No. 34-62341

SR-FINRA-2010-045
34-62787 Aug. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Comments due:  September 23, 2010

SR-FINRA-2010-033
34-62763 Aug. 24, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
See also:  Order: Rel. No. 34-62883; Notice: Rel. No. 34-62688A; Notice: Rel. No. 34-62416

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
See also:  Notice: Rel. No. 34-60199
Comments received are available for this notice.

SR-FINRA-2010-043
34-62748 Aug. 20, 2010 Notice of Filing of Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
Comments due:  September 16, 2010
See also:  Order: Rel. No. 34-63032
Comments received are available for this notice.

SR-FINRA-2010-039
34-62718A Aug. 20, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook; Correction
Comments due:  September 9, 2010
See also:  Notice/Order: Rel. No. 34-63325; Notice: Rel. No. 34-62718
Comments received are available for this notice.

SR-FINRA-2010-044
34-62739 Aug. 18, 2010 Notice of Filing of Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
Comments due:  September 15, 2010
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-63311
Comments received are available for this notice.

SR-FINRA-2010-032
34-62729 Aug. 16, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
See also:  Order: Rel. No. 34-62885; Notice: Rel. No. 34-62798; Notice: Rel. No. 34-62341

SR-FINRA-2010-039
34-62718 Aug. 13, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
Comments due:  September 9, 2010
Additional Materials:   Exhibit 2a, Exhibit 2b, Exhibit 2c, and Exhibit 5
See also:  Notice/Order: Rel. No. 34-63325; Correction Notice: Rel. No. 34-62718A
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-039

SR-FINRA-2010-041
34-62711 Aug. 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 to Extend the Time to Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
Comments due:  September 8, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-026
34-62702 Aug. 12, 2010 Order Approving the Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-62199

SR-FINRA-2010-033
34-62688A Aug. 11, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
See also:  Order: Rel. No. 34-62883; Notice: Rel. No. 34-62763; Notice: Rel. No. 34-62416

SR-FINRA-2010-037
34-62664 Aug. 9, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
Comments due:  September 3, 2010
See also:  Amendment; Order: Rel. No. 34-62970

SR-FINRA-2010-042
34-62655 Aug. 5, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
Comments due:  September 1, 2010
See also:  Notice/Order: Rel. No. 34-63044
Comments received are available for this notice.

SR-FINRA-2010-034
34-62621 Jul. 30, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Comments due:  August 30, 2010
Additional Materials:   Exhibit 5
See also:  Notice: Rel. No. 34-63260
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-034

SR-FINRA-2010-038
34-62608 Jul. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
Comments due:  August 27, 2010

SR-FINRA-2010-035
34-62584 Jul. 28, 2010 Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes
Comments due:  August 24, 2010
See also:  Notice/Order: Rel. No. 34-64166
Comments received are available for this notice.

SR-FINRA-2010-029
34-62539 Jul. 21, 2010 Order Approving the Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-62299

SR-FINRA-2010-028
34-62533 Jul. 20, 2010 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-62288

SR-FINRA-2010-006
34-62521 Jul. 16, 2010 Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due:  August 12, 2010
See also:  Notice: Rel. No. 34-61517
Comments received are available for this notice.

SR-FINRA-2010-024
34-62482 Jul. 12, 2010 Order Approving a Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-62205

SR-FINRA-2010-022
34-62480 Jul. 9, 2010 Order Approving Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
See also:  Notice: Rel. No. 34-62134

SR-FINRA-2010-012
34-62476 Jul. 8, 2010 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
See also:  Notice: Rel. No. 34-61927

SR-FINRA-2010-030
34-62454 Jul. 6, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Comments due:  August 2, 2010
See also:  Order: Rel. No. 34-62842

SR-FINRA-2010-027
34-62441 Jul. 2, 2010 Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
See also:  Notice: Rel. No. 34-62160

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
See also:  Notice: Rel. No. 34-61189

SR-FINRA-2010-031
34-62429 Jul. 1, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Amending Financial Industry Regulatory Authority, Inc. Online Form NMA
Comments due:  July 30, 2010
Second Quarter

SR-FINRA-2010-033
34-62416 Jun. 30, 2010 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  July 19, 2010
Additional Materials:   Exhibit 3
See also:  Order: Rel. No. 34-62883; Notice: Rel. No. 34-62763; Notice: Rel. No. 34-62688A
Comments received are available for this notice.

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
See also Notices:  Rel. No. 34-60515 and Rel. No. 34-61677

SR-FINRA-2010-032
34-62341 Jun. 21, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due:  July 19, 2010
See also:  Order: Rel. No. 34-62885; Notice: Rel. No. 34-62798; Notice: Rel. No. 34-62729
Comments received are available for this notice.

SR-FINRA-2010-021
34-62318 Jun. 18, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
Comments due:  July 16, 2010
See also:  Order: Rel. No. 34-63016
Comments received are available for this notice.

SR-FINRA-2010-029
34-62299 Jun. 16, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
Comments due:  July 12, 2010
See also:  Order: Rel. No. 34-62539

SR-FINRA-2010-028
34-62288 Jun. 11, 2010 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
Comments due:  July 8, 2010
See also:  Order: Rel. No. 34-62533

SR-FINRA-2010-025
34-62251 Jun. 10, 2010 Order Granting Accelerated Approval to Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Permit FINRA to Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market has Issued a Trading Pause due to Extraordinary Market Conditions
See also:  Notice: Rel. No. 34-62133

SR-FINRA-2010-014
34-62211 Jun. 2, 2010 Order Approving Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
See also:  Notice: Rel. No. 34-61938

SR-FINRA-2010-024
34-62205 Jun. 2, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
Comments due:  June 29, 2010
See also:  Order: Rel. No. 34-62482

SR-FINRA-2010-026
34-62199 Jun. 1, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
Comments due:  June 25, 2010
See also:  Order: Rel. No. 34-62702
Comments received are available for this notice.

SR-FINRA-2010-027
34-62160 May 24, 2010 Notice of Filing of Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
Comments due:  21 days after publication in the Federal Register
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-62441

SR-FINRA-2010-007
34-62156 May 24, 2010 Order Approving Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
See also:  Notice: Rel. No. 34-61575

SR-FINRA-2010-023
34-62146 May 20, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Comments due:  June 17, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-022
34-62134 May 19, 2010 Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
Comments due:  June 10, 2010
See also:  Order: Rel. No. 34-62480
Comments received are available for this notice.

SR-FINRA-2010-025
34-62133 May 19, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  June 3, 2010
See also:  Order: Rel. No. 34-62251
Comments received are available for this notice.

SR-FINRA-2010-020
34-62064 May 10, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Comments due:  June 7, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-017
34-61997 Apr. 28, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due:  May 27, 2010

SR-FINRA-2010-003
34-61979 Apr. 23, 2010 Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
See also:  Notice: Rel. No. 34-61510

SR-FINRA-2010-019
34-61948 Apr. 20, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Period for SR-FINRA-2009-065
Comments due:  May 20, 2010

SR-FINRA-2010-014
34-61938 Apr. 19, 2010 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Comments due:  May 17, 2010
See also:  Order: Rel. No. 34-62211
Comments received are available for this notice.

SR-FINRA-2010-012
34-61927 Apr. 16, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due:  May 13, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.
See also:  Order: Rel. No. 34-62476

SR-FINRA-2010-016
34-61907 Apr. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations
Comments due:  May 13, 2010
First Quarter

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
See also:  Notice: Rel. No. 34-60960
Comments received are available for this notice.

SR-FINRA-2010-011
34-61817 Mar. 31, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  April 28, 2010

SR-FINRA-2010-005
34-61808 Mar. 31, 2010 Order Approving Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
See also:  Notice: Rel. No. 34-61543

SR-FINRA-2010-013
34-61806 Mar. 31, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Comments due:  April 27, 2010

SR-FINRA-2010-010
34-61747 Mar. 19, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Comments due:  April 19, 2010

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
See also:  Notice: Rel. No. 34-60475

SR-NASD-2003-140
34-61690 Mar. 11, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Prohibition of Certain Abuses in the Allocation and Distribution of Shares in Initial Public Offerings ("IPOs")
Comments due:  April 8, 2010
See also Notices:   Rel. No. 34-51039 and Rel. No. 34-50896
Comments received are available for this notice.
* Submit comments on SR-NASD-2003-140

SR-FINRA-2009-054
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
See also:  Notice: Rel. No. 34-60515 and Order: Rel. No. 34-62359
Comments received are available for this notice.

SR-FINRA-2010-001
34-61658 Mar. 5, 2010 Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
See also:  Notice: Rel. No. 34-61361

SR-FINRA-2010-009
34-61648 Mar. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due:  April 1, 2010

SR-FINRA-2010-007
34-61575 Feb. 23, 2010 Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
Comments due:  March 23, 2010
See also:  Order: Rel. No. 34-62156
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-60860

SR-FINRA-2010-005
34-61543 Feb. 18, 2010 Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
Comments due:  March 18, 2010
See also:  Order: Rel. No. 34-61808

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
See also:  Notice: Rel. No. 34-61319

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
See also:  Notice: Rel. No. 34-61253

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
See also:  Notice: Rel. No. 34-61302

SR-FINRA-2010-006
34-61517 Feb. 16, 2010 Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due:  March 16, 2010
See also:  Notice/Order: Rel. No. 34-62521
Comments received are available for this notice.

SR-FINRA-2010-008
34-61513 Feb. 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Comments due:  March 12, 2010

SR-FINRA-2010-003
34-61510 Feb. 5, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
Comments due:  March 12, 2010
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-61979

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
See also:  Notice: Rel. No. 34-61057

SR-FINRA-2009-073
34-61497 Feb. 4, 2010 Order Approving Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also:  Notice: Rel. No. 34-61217

SR-FINRA-2009-087
34-61473 Feb. 2, 2010 Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-61211

SR-FINRA-2010-002
34-61427 Jan. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  February 25, 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
See also:  Notice: Rel. No. 34-61171

SR-FINRA-2010-004
34-61408 Jan. 22, 1010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due:  February 18, 2010

SR-FINRA-2010-001
34-61361 Jan. 14, 2010 Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due:  February 12, 2010
See also:  Order: Rel. No. 34-61658
Comments received are available for this notice.

SR-FINRA-2009-082
34-61359 Jan. 14, 2010 Order Approving a Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
See also:  Notice: Rel. No. 34-61105

SR-FINRA-2009-084
34-61338 Jan. 12, 2010 Order Approving Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-61083

SR-FINRA-2009-080
34-61332 Jan. 12, 2010 Order Approving a Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
See also:  Notice: Rel. No. 34-61116

SR-FINRA-2009-093
34-61319 Jan. 8, 2009 Notice of Filing of Proposed Rule Change to Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook
Comments due:  February 9, 2010
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-61542

SR-FINRA-2009-072
34-61311 Jan. 7, 2010 Order Approving Proposed Rule Change to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes
See also:  Notice: Rel. No. 34-61060

SR-FINRA-2009-095
34-61302 Jan. 6, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
Comments due:  February 2, 2010
See also:  Order: Rel. No. 34-61537

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


FINRA File Number Lists
Release No. Date Details

SR-FINRA-2010-068
34-63695 Jan. 11, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Comments due:  February 9, 2011

SR-FINRA-2010-066
34-63561 Dec. 16, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
Comments due:  January 12, 2011
Additional Materials:   Exhibit 5

SR-FINRA-2010-065
34-63483 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due:  January 5, 2011

SR-FINRA-2010-064
34-63503 Dec. 9, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due:  January 5, 2011

SR-FINRA-2010-063
34-63391 Nov. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend to July 16, 2011, the Pilot Period for FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  December 27, 2010

SR-FINRA-2010-062
34-63383 Nov. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042 (Verification of Assets)
Comments due:  December 27, 2010

SR-FINRA-2010-061
34-63999 Mar. 1, 2011 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Adopting, as Modified by Amendment No. 1, Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
Comments due:  March 28, 2011
Comments received are available for this notice.
34-63375 Nov. 24, 2010 Notice of Filing of Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
Comments due:  December 22, 2010
Comments received are available for this notice.

SR-FINRA-2010-060
34-63319 Nov. 16, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  December 13, 2010

SR-FINRA-2010-059
34-63961 Feb. 24, 2011 Order Approving Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
34-63331 Nov. 17, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
Comments due:  December 17, 2010
Comments received are available for this notice.

SR-FINRA-2010-058
34-63277 Nov. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
Comments due:  December 6, 2010

SR-FINRA-2010-057
34-63373 Nov. 24, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
Comments due:  December 22, 2010
Comments received are available for this notice.

SR-FINRA-2010-056
34-63933 Feb. 18, 2011 Order Approving a Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings)
34-63316 Nov. 15, 2010 Notice of Filing of Proposed Rule Change to adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend FINRA Rule 9520 Series (Eligibility Proceedings)
Comments due:  December 13, 2010
Comments received are available for this notice.

SR-FINRA-2010-055
34-63885 Feb. 10, 2011 Order Disapproving Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
34-63582 Dec. 21, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
34-63256 Nov. 5, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
Comments due:  December 3, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2010-054
34-63223 Nov. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operational Date of SR-FINRA-2009-065
Comments due:  November 29, 2010

SR-FINRA-2010-053
34-63799 Jan. 31, 2011 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes
Comments due:  February 25, 2011
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-053
34-63250 Nov. 5, 2010 Notice of Filing of Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer Disputes
Additional Materials:   Amendment No. 1
Comments due:  December 3, 2010
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-053

SR-FINRA-2010-052
34-63784 Jan. 27, 2011 Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
34-63181 Oct. 26, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
Comments due:  November 22, 2010
Comments received are available for this notice.

SR-FINRA-2010-051
34-63039 Oct. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
Comments due:  November 3, 2010

SR-FINRA-2010-050
34-63046 Oct. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims
Comments due:  November 3, 2010
Comments received are available for this notice.

SR-FINRA-2010-049
34-63255 Nov. 5, 2010 Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, to Enhance the Quotation Standards for Market Makers
Additional File Nos.:  SR-BATS-2010-025; SR-BX-2010-66; SR-CBOE-2010-087; SR-CHX-2010-22; SR-NASDAQ-2010-115; SR-NSX-2010-12; SR-NYSE-2010-69; SR-NYSEAmex-2010-96; SR-NYSEArca-2010-83
34-62953 Sep. 20, 2010 Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility
Comments due:  October 18, 2010

SR-FINRA-2010-048
34-62995 Sep. 27, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
Comments due:  October 22, 2010

SR-FINRA-2010-047
34-62983 Sep. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  October 20, 2010

SR-FINRA-2010-046
34-63196 Oct. 27, 2010 Order Approving Proposed Rule Change to Remove the Exemption From the Trading Activity Fee for Transactions in Exchange Listed Options Effected by a Member When FINRA is not the Designated Options Examining Authority for that Member
34-62927 Sep. 17, 2010 Notice of Filing of Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
Comments due:  October 14, 2010

SR-FINRA-2010-045
34-62787 Aug. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Comments due:  September 23, 2010

SR-FINRA-2010-044
34-63311 Nov. 12, 2010 Order Approving a Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
34-62739 Aug. 18, 2010 Notice of Filing of Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
Comments due:  September 15, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2010-043
34-63032 Oct. 4, 2010 Order Approving a Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
34-62748 Aug. 20, 2010 Notice of Filing of Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
Comments due:  September 16, 2010
Comments received are available for this notice.

SR-FINRA-2010-042
34-63044 Oct. 5, 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 FINRA Rule 4160 (Verification of Assets)
Comments due:  November 3, 2010
Comments received are available for this notice.
34-62655 Aug. 5, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
Comments due:  September 1, 2010
Comments received are available for this notice.

SR-FINRA-2010-041
34-62711 Aug. 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 to Extend the Time to Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
Comments due:  September 8, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-039
34-63325 Nov. 17, 2010 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 Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
Comments due:  December 14, 2010
Comments received are available for this notice.
34-62718A Aug. 20, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook; Correction
Comments due:  September 9, 2010
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-039
34-62718 Aug. 13, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
Comments due:  September 9, 2010
Additional Materials:   Exhibit 2a, Exhibit 2b, Exhibit 2c, and Exhibit 5
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-039

SR-FINRA-2010-038
34-62608 Jul. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
Comments due:  August 27, 2010

SR-FINRA-2010-037
34-62970 Sep. 22, 2010 Order Approving the Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
34-62664 Aug. 9, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
Comments due:  September 3, 2010
See also:  Amendment

SR-FINRA-2010-036
34-64954 Jul. 25, 2011 Notice of Filing Proposed Rule Change and Amendment No. 1 to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals
Comments due:  21 days after publication in the Federal Register
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-036
34-62930 Sep. 17, 2010 Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Permit Arbitrators to Make Mid-case Referrals
Comments due:  October 14, 2010
Comments received are available for this notice.
* Submit comments on SR-FINRA-2010-036

SR-FINRA-2010-035
34-64166 Apr. 1, 2011 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 Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes
Comments due:  April 27, 2011
Comments received are available for this notice.
34-62584 Jul. 28, 2010 Notice of Filing of Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes
Comments due:  August 24, 2010
Comments received are available for this notice.

SR-FINRA-2010-034
34-63260 Nov. 5, 2010 Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Comments due:  December 3, 2010
Comments received are available for this notice.
34-62621 Jul. 30, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Comments due:  August 30, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2010-033
34-62883 Sep. 10, 2010 Order Approving Proposed Rule Change Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
34-62763 Aug. 24, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
34-62688A Aug. 11, 2010 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.:  SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NASDAQ-2010-079; SR-NSX-2010-08
34-62416 Jun. 30, 2010 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  July 19, 2010
Additional Materials:   Exhibit 3
Comments received are available for this notice.

SR-FINRA-2010-032
34-62885 Sep. 10, 2010 Order Granting Approval of Proposed Rule Change Relating to Clearly Erroneous Transactions
See also:  Notice: Rel. No. 34-62798; Notice: Rel. No. 34-62729; Notice: Rel. No. 34-62341
34-62798 Aug. 30, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
34-62729 Aug. 16, 2010 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
34-62341 Jun. 21, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due:  July 19, 2010
Comments received are available for this notice.

SR-FINRA-2010-031
34-62429 Jul. 1, 2010 Notice of Filing and Immediate Effectiveness of a Proposed Rule Amending Financial Industry Regulatory Authority, Inc. Online Form NMA
Comments due:  July 30, 2010

SR-FINRA-2010-030
34-62454 Jul. 6, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
Comments due:  August 2, 2010
* Submit comments on SR-FINRA-2010-030

SR-FINRA-2010-029
34-62539 Jul. 21, 2010 Order Approving the Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
34-62299 Jun. 16, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
Comments due:  July 12, 2010

SR-FINRA-2010-028
34-62533 Jul. 20, 2010 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
34-62288 Jun. 11, 2010 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt NASD Rule 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the Consolidated FINRA Rulebook
Comments due:  July 8, 2010

SR-FINRA-2010-027
34-62441 Jul. 2, 2010 Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
34-62160 May 24, 2010 Notice of Filing of Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc
Comments due:  21 days after publication in the Federal Register
Additional Materials:   Exhibit 5

SR-FINRA-2010-026
34-62702 Aug. 12, 2010 Order Approving the Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
34-62199 Jun. 1, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
Comments due:  June 25, 2010
Comments received are available for this notice.

SR-FINRA-2010-025
34-62251 Jun. 10, 2010 Order Granting Accelerated Approval to Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Permit FINRA to Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market has Issued a Trading Pause due to Extraordinary Market Conditions
34-62133 May 19, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
Comments due:  June 3, 2010
Comments received are available for this notice.

SR-FINRA-2010-024
34-62482 Jul. 12, 2010 Order Approving a Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
34-62205 Jun. 2, 2010 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook
Comments due:  June 29, 2010

SR-FINRA-2010-023
34-62146 May 20, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
Comments due:  June 17, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-022
34-62480 Jul. 9, 2010 Order Approving Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
34-62134 May 19, 2010 Notice of Filing of Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System
Comments due:  June 10, 2010
Comments received are available for this notice.

SR-FINRA-2010-021
34-63016 Sep. 29, 2010 Order Approving Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
34-62318 Jun. 18, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted
Comments due:  July 16, 2010
Comments received are available for this notice.

SR-FINRA-2010-020
34-62064 May 10, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Comments due:  June 7, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-019
34-61948 Apr. 20, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Period for SR-FINRA-2009-065
Comments due:  May 20, 2010

SR-FINRA-2010-017
34-61997 Apr. 28, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due:  May 27, 2010

SR-FINRA-2010-016
34-61907 Apr. 14, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations
Comments due:  May 13, 2010

SR-FINRA-2010-014
34-62211 Jun. 2, 2010 Order Approving Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
34-61938 Apr. 19, 2010 Notice of Filing of Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
Comments due:  May 17, 2010
Comments received are available for this notice.

SR-FINRA-2010-013
34-61806 Mar. 31, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
Comments due:  April 27, 2010

SR-FINRA-2010-012
34-62476 Jul. 8, 2010 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
34-61927 Apr. 16, 2010 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Comments due:  May 13, 2010
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-FINRA-2010-011
34-61817 Mar. 31, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  April 28, 2010

SR-FINRA-2010-010
34-61747 Mar. 19, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
Comments due:  April 19, 2010

SR-FINRA-2010-009
34-61648 Mar. 4, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Comments due:  April 1, 2010

SR-FINRA-2010-008
34-61513 Feb. 12, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
Comments due:  March 12, 2010

SR-FINRA-2010-007
34-62156 May 24, 2010 Order Approving Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
See also:  Notice: Rel. No. 34-61575
34-61575 Feb. 23, 2010 Notice of Filing of Proposed Rule Change to Amend the By-Laws of NASD Dispute Resolution
Comments due:  March 23, 2010
Comments received are available for this notice.

SR-FINRA-2010-006
34-62521 Jul. 16, 2010 Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due:  August 12, 2010
Comments received are available for this notice.
34-61517 Feb. 16, 2010 Notice of Filing of Proposed Rule Change to Amend the Codes of Arbitration Procedure to Provide for Attorney Representation of Non-party Witnesses in Arbitration
Comments due:  March 16, 2010
Comments received are available for this notice.

SR-FINRA-2010-005
34-61808 Mar. 31, 2010 Order Approving Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
34-61543 Feb. 18, 2010 Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
Comments due:  March 18, 2010

SR-FINRA-2010-004
34-61408 Jan. 22, 1010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d)
Comments due:  February 18, 2010

SR-FINRA-2010-003
34-61979 Apr. 23, 2010 Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
34-61510 Feb. 5, 2010 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
Comments due:  March 12, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-002
34-61427 Jan. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules
Comments due:  February 25, 2010
Additional Materials:   Exhibit 5

SR-FINRA-2010-001
34-61658 Mar. 5, 2010 Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
34-61361 Jan. 14, 2010 Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
Comments due:  February 12, 2010
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2010.shtml


Modified: 07/20/2012