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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
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| 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
|
| 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.
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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
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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
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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
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| 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
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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
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| 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
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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
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| 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
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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
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| 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.
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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
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| 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.
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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
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| 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
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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
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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
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| 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.
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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
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| 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.
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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
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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
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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
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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
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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
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| 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.
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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
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SR-FINRA-2010-012 |
| 34-62476 |
Jul. 8, 2010 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
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| 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.
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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
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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
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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
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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
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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
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| 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.
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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.
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| 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.
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SR-FINRA-2010-005 |
| 34-61808 |
Mar. 31, 2010 |
Order Approving Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts)
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| 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
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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
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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
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| 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
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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
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SR-FINRA-2010-001 |
| 34-61658 |
Mar. 5, 2010 |
Order Approving Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
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| 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.
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http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2010.shtml
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