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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2011
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 2011
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-FINRA-2011-054 |
| 34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65430
Comments received are available for this proposal.
|
SR-FINRA-2011-071 |
| 34-66050 |
Dec. 23, 2011 |
Notice of Filing of Proposed Rule Change to Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: January 20, 2012
See also: Order: Rel. No. 34-66276
|
SR-FINRA-2011-035 |
| 34-66049 |
Dec. 23, 2011 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: January 18, 2012
See also: Notice/Order: Rel. No. 34-66681; Notice/Order: Rel. No. 34-65663; and Notice: Rel. No. 34-64984
Comments received are available for this proposal.
 Submit comments on SR-FINRA-2011-035
|
SR-FINRA-2011-074 |
| 34-66033 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: January 19, 2012
|
SR-FINRA-2011-063 |
| 34-66021 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
See also: Notice: Rel. No. 34-65692
|
SR-FINRA-2011-072 |
| 34-66018 |
Dec. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: January 18, 2012
|
SR-FINRA-2011-062 |
| 34-65944 |
Dec. 13, 2011 |
Order Approving a Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
See also: Notice: Rel. No. 34-65656
|
SR-FINRA-2011-067 |
| 34-65896 |
Dec. 6, 2011 |
Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration
Comments due: January 3, 2011
See also: Order: Rel. No. 34-66575
Comments received are available for this proposal.
|
SR-FINRA-2011-052 |
| 34-65895 |
Dec. 5, 2011 |
Order Granting Approval of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
See also: Notice: Rel. No. 34-65579
|
SR-FINRA-2011-070 |
| 34-65890 |
Dec. 5, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
Comments due: December 30, 2011
|
SR-FINRA-2011-069 |
| 34-65877 |
Dec. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due: December 29, 2011
See also: Notice: Rel. No. 34-66149
Comments received are available for this proposal.
|
SR-FINRA-2011-068 |
| 34-65819 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend FINRA Rule 6121.01 (Trading Pauses) to Exclude Rights and Warrants from the Trading Pause Pilot
Comments due: December 21, 2011
|
SR-FINRA-2011-053 |
| 34-65791 |
Nov. 18, 2011 |
Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules
See also: Notice: Rel. No. 34-65459
|
SR-FINRA-2011-044 |
| 34-65787 |
Nov. 18, 2011 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure
Comments due: December 14, 2011
See also: Order: Rel. No. 34-66096
|
SR-FINRA-2011-054 |
| 34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65430
Comments received are available for this proposal.
|
SR-FINRA-2011-066 |
| 34-65737 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
Comments due: December 8, 2011
|
SR-FINRA-2011-065 |
| 34-65722 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: December 9, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-064 |
| 34-65700 |
Nov. 7, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Comments due: December 5, 2011
See also: Notice/Order: Rel. No. 34-66364
Comments received are available for this proposal.
|
SR-FINRA-2011-051 |
| 34-65695 |
Nov. 4, 2011 |
Order Approving Proposed Rule Change to Allow FINRA to Grant Exemptions from Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
See also: Notice: Rel. No. 34-65388
|
SR-FINRA-2011-063 |
| 34-65692 |
Nov. 4, 2011 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Comments due: December 1, 2011
See also: Order: Rel. No. 34-66021
|
SR-FINRA-2011-035 |
| 34-65663 |
Nov. 1, 2011 |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: December 7, 2011
Rebuttal comments due: December 22, 2011
See also: Notice/Order: Rel. No. 34-66681; Notice: Rel. No. 34-64984; and Notice: Rel. No. 34-66049
Comments received are available for this proposal.
|
SR-FINRA-2011-062 |
| 34-65656 |
Oct. 28, 2011 |
Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
Comments due: November 25, 2011
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-65944
|
SR-FINRA-2011-059 |
| 34-65645 |
Oct. 27, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
Comments due: November 23, 2011
See also: Order: Rel. No. 34-66279
|
SR-FINRA-2011-061 |
| 34-65618 |
Oct. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Comments due: November 21, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-043 |
| 34-65599 |
Oct. 20, 2011 |
Order Approving Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
See also: Notice: Rel. No. 34-65313
|
SR-FINRA-2011-057 |
| 34-65585 |
Oct. 18, 2011 |
Notice of Filing of Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
Comments due: November 14, 2011
See also: Notice/Order: Rel. No. 34-66203 and Notice/Order; Rel. No. 34-67157
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-057
|
SR-FINRA-2011-060 |
| 34-65580 |
Oct. 17, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
Comments due: November 14, 2011
Additional Materials: Text of Proposed Rule Change
Comments received are available for this proposal.
|
SR-FINRA-2011-052 |
| 34-65579 |
Oct. 17, 2011 |
Notice of Filing of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
Comments due: November 14, 2011
Additional Materials: Exhibit 2A; Exhibit 2B; Exhibit 2C; Exhibit 5
See also: Order: Rel. No. 34-65895
Comments received are available for this proposal.
|
SR-FINRA-2011-058 |
| 34-65568 |
Oct. 14, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: November 10, 2011
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-67208; Notice: Rel. No. 34-66819; and Order: Rel. No. 34-66168
Comments received are available for this proposal.
|
SR-FINRA-2011-056 |
| 34-65551 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded "To Be Announced"
Comments due: November 10, 2011
|
SR-FINRA-2009-028 |
| 34-64969A |
Oct. 7, 2011 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction
See also: Notice: Rel. No. 34-67588, Notice: Rel. No. 34-64969, and Notice: Rel. No. 34-59921
|
SR-FINRA-2011-028 |
| 34-65477 |
Oct. 4, 2011 |
Notice of Withdrawal of Proposed Rule Change Relating to the Adoption of Rules Regarding Supervision in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-64736
|
| Third Quarter |
SR-FINRA-2011-053 |
| 34-65459 |
Sep. 30, 2011 |
Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules
Comments due: October 27, 2011
See also: Order: Rel. No. 34-65791
Comments received are available for this proposal.
|
SR-FINRA-2011-055 |
| 34-65442 |
Sep. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Comments due: October 26, 2011
|
SR-FINRA-2011-054 |
| 34-65430 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Comments due: October 25, 2011
See also: Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65770
Comments received are available for this proposal.
|
SR-FINRA-2011-049 |
| 34-65408 |
Sep. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Financial Industry Regulatory Authority, Inc. Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Comments due: October 24, 2011
|
SR-FINRA-2011-051 |
| 34-65388 |
Sep. 23, 2011 |
Notice of Filing of Proposed Rule Change Relating to Exemption from Certain Reporting Obligations under Equity Trade Reporting Rules for Certain Alternative Trading Systems
Comments due: October 20, 2011
Comments received are available for this notice.
See also: Order: Rel. No. 34-65695
|
SR-FINRA-2011-050 |
| 34-65382 |
Sep. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Comments due: October 19, 2011
|
SR-FINRA-2011-048 |
| 34-65375 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 38 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-047 |
| 34-65374 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 37 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-046 |
| 34-65376 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 17 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-045 |
| 34-65358 |
Sep. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 7 Examination Program
Comments due: October 18, 2011
Comments received are available for this proposal.
|
SR-FINRA-2011-043 |
| 34-65313 |
Sep. 12, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Comments due: October 7, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-031 |
| 34-65281 |
Sep. 7, 2011 |
Order Granting Approval of Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
See also: Notice: Rel. No. 34-64934
|
SR-FINRA-2011-041 |
| 34-65222 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program
Comments due: September 28, 2011
Additional Materials: Exhibit 3A; Text of Proposed Rule Change
Comments received are available for this proposal.
|
SR-FINRA-2011-042 |
| 34-65221 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination
Comments due: September 28, 2011
|
SR-FINRA-2011-040 |
| 34-65137 |
Aug. 11, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
Comments due: September 9, 2011
|
SR-FINRA-2011-039 |
| 34-65101 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: September 7, 2011
|
SR-FINRA-2011-036 |
| 34-65086 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts Trust
Comments due: September 6, 2011
|
SR-FINRA-2011-037 |
| 34-65075 |
Aug. 9, 2011 |
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: September 6, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-038 |
| 34-65071 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: September 6, 2011
|
SR-FINRA-2011-027 |
| 34-65025 |
Aug. 3, 2011 |
Order Approving a Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are part of a Distribution and Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
See also: Notice: Rel. No. 34-64706
|
SR-FINRA-2011-035 |
| 34-64984 |
Jul. 28, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: August 24, 2011
See also: Notice/Order: Rel. No. 34-66681; Notice/Order: Rel. No. 34-65663; Notice: Rel. No. 34-66049
Comments received are available for this notice.
|
SR-FINRA-2009-028 |
| 34-64969 |
Jul. 26, 2011 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
Comments due: August 23, 2011
See also: Notice: Rel. No. 34-67588, Notice: Rel. No. 34-64969A, and Notice: Rel. No. 34-59921
Comments received are available for this notice.
|
SR-FINRA-2011-026 |
| 34-64961 |
Jul. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
Comments due: August 22, 2011
Comments received are available for this notice.
|
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: August 19, 2011
See also: Notice: Rel. No. 34-62930
Comments received are available for this notice.
Submit comments on SR-FINRA-2010-036
|
SR-FINRA-2011-031 |
| 34-64934 |
Jul. 20, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
Comments due: August 16, 2011
Comments received are available for this notice.
See also: Order: Rel. No. 34-65281
|
SR-FINRA-2011-034 |
| 34-64892 |
Jul. 14, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 10, 2011
See also: Notice: Rel. No. 34-64892A (Correction)
|
SR-FINRA-2011-033 |
| 34-64884 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: August 9, 2011
|
SR-FINRA-2011-032 |
| 34-64841 |
Jul. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
Comments due: August 4, 2011
|
| Second Quarter |
SR-FINRA-2011-030 |
| 34-64777 |
Jun. 30, 2011 |
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: July 29, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-028 |
| 34-64736 |
Jun. 23, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 20, 2011
See also: Order: Rel. No. 34-65477
Comments received are available for this notice.
|
SR-FINRA-2011-023 |
| 34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
See also: Notice: Rel. No. 34-64424
|
SR-FINRA-2011-029 |
| 34-64717 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 18, 2011
|
SR-FINRA-2011-027 |
| 34-64706 |
Jun. 20, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
Comments due: July 18, 2011
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-65025
|
SR-FINRA-2011-013 |
| 34-64687 |
Jun. 16, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
Comments due: July 13, 2011
See also: Notice: Rel. No. 34-64080
Comments received are available for this notice.
|
SR-FINRA-2011-025 |
| 34-64665 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: July 11, 2011
|
SR-FINRA-2011-020 |
| 34-64590 |
Jun. 2, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
See also: Notice: Rel. No. 34-64353
|
SR-FINRA-2011-024 |
| 34-64560 |
May 27, 2011 |
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: June 24, 2011
|
SR-FINRA-2011-017 |
| 34-64512 |
May 18, 2011 |
Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
See also: Notice: Rel. No. 34-64341
|
SR-FINRA-2011-023 |
| 34-64424 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
Comments due: June 2, 2011
See also: Order: Rel. No. 34-64735
|
SR-FINRA-2011-019 |
| 34-64397 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
Comments due: May 31, 2011
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-FINRA-2011-018 |
| 34-64386 |
May 3, 2011 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Comments due: May 31, 2011
Additional Materials: Exhibit 5
Comments received are available for this notice.
Submit comments on SR-FINRA-2011-018
|
SR-FINRA-2011-021 |
| 34-64369 |
Apr. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Comments due: May 25, 2011
|
SR-FINRA-2011-011 |
| 34-64363 |
Apr. 28, 2011 |
Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committees
See also: Notice: Rel. No. 34-64002
|
SR-FINRA-2011-012 |
| 34-64364 |
Apr. 28, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
See also: Notice: Rel. No. 34-64084; Notice: Rel. No. 34-64283
|
SR-FINRA-2011-020 |
| 34-64353 |
Apr. 27, 2011 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: May 24, 2011
See also: Order: Rel. No. 34-64590
|
SR-FINRA-2011-017 |
| 34-64341 |
Apr. 26, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: May 16, 2011
See also: Order: Rel. No. 34-64512
Comments received are available for this notice.
|
SR-FINRA-2011-012 |
| 34-64283 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
See also: Order: Rel. No. 34-64364; Notice: Rel. No. 34-64084
|
SR-FINRA-2011-008 |
| 34-64264 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Public Disclosure of Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security
Comments due: May 4, 2011
See also: Notice: Rel. No. 34-63960
Comments received are available for this notice.
Submit comments on SR-FINRA-2011-008
|
SR-FINRA-2011-016 |
| 34-64260 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
Comments due: May 4, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-014 |
| 34-64237 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: May 4, 2011
|
SR-FINRA-2011-005 |
| 34-64226 |
Apr. 7, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings
See also: Correction: Rel. No. 34-64226A; Notice: Rel. No. 34-63909
|
SR-FINRA-2011-006 |
| 34-64225 |
Apr. 7, 2011 |
Order Approving Proposed Rule Change Relating to Motions in Arbitration
See also: Notice: Rel. No. 34-63910
|
SR-FINRA-2011-015 |
| 34-64192 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: May 2, 2011
|
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
See also: Notice: Rel. No. 34-62584
Comments received are available for this notice.
|
| First Quarter |
SR-FINRA-2011-012 |
| 34-64084 |
Mar. 16, 2011 |
Notice of Filing of Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
Comments due: April 11, 2011
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-64364; Notice: Rel. No. 34-64283
|
SR-FINRA-2011-013 |
| 34-64080 |
Mar. 14, 2011 |
Notice of Filing of Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
Comments due: April 8, 2011
See also: Notice/Order: Rel. No. 34-64687
Comments received are available for this notice.
|
SR-FINRA-2011-004 |
| 34-64041 |
Mar. 4, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
See also: Notice: Rel. No. 34-63751
|
SR-FINRA-2011-007 |
| 34-64005 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correct Cross-References in the Customer Code
Comments due: March 29, 2011
|
SR-FINRA-2011-011 |
| 34-64002 |
Mar. 2, 2011 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance
Comments due: March 28, 2011
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-64363
Comments received are available for this notice.
|
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
See also: Notice: Rel. No. 34-63375
Comments received are available for this notice.
|
SR-FINRA-2011-009 |
| 34-63966 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610(a)
Comments due: March 24, 2011
|
SR-FINRA-2011-008 |
| 34-63960 |
Feb. 24, 2011 |
Notice of Filing of a Proposed Rule Change to Require Public Disclosure of Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security
Comments due: March 24, 2011
See also: Notice: Rel. No. 34-64264
Comments received are available for this notice.
|
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
See also: Notice: Rel. No. 34-63331
|
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)
See also: Notice: Rel. No. 34-63316
|
SR-FINRA-2011-006 |
| 34-63910 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change Relating to Motions in Arbitration
Comments due: March 15, 2011
See also: Order: Rel. No. 34-64225
Comments received are available for this notice.
|
SR-FINRA-2011-005 |
| 34-63909 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change Relating to Promissory Note Proceedings
Comments due: March 15, 2011
See also: Notice: Rel. No. 34-64226; Correction: Rel. No. 34-64226A
|
SR-FINRA-2009-090 |
| 34-63895 |
Feb. 11, 2011 |
Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, As Modified by Amendment No. 1, to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
Comments due: March 10, 2011
See also: Notice: Rel. No. 34-61168
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)
See also: Notice: Rel. No. 34-63582; Notice: Rel. No. 34-63256
|
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
See also: Notice: Rel. No. 34-63250
Comments received are available for this notice.
|
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
See also: Notice: Rel. No. 34-63181
|
SR-FINRA-2011-004 |
| 34-63751 |
Jan. 21, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
Comments due: February 17, 2011
See also: Order: Rel. No. 34-64041
|
SR-FINRA-2011-003 |
| 34-63729 |
Jan. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 15, 2011
|
SR-FINRA-2011-001 |
| 34-63709 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
Comments due: February 10, 2011
|
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-2011-002 |
| 34-63673 |
Jan. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: February 4, 2011
|
| FINRA File Number List for 2011 |
| Release No. |
Date |
Details |
SR-FINRA-2011-075 |
| 34-66774 |
Apr. 9, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 13024 of the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated
Comments due: May 4, 2012
Submit comments on SR-FINRA-2012-075
|
| 34-66109 |
Jan. 5, 2012 |
Notice of Filing of Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated
Comments due: February 1, 2012
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-075
|
SR-FINRA-2011-074 |
| 34-66033 |
Dec. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: January 19, 2012
|
SR-FINRA-2011-073 |
| 34-66454 |
Feb. 23, 2012 |
Order Granting Approval of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
|
| 34-66080 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Comments due: January 30, 2012
See also: Order: Rel. No. 34-66454
Comments received are available for this proposal.
|
SR-FINRA-2011-072 |
| 34-66018 |
Dec. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: January 18, 2012
|
SR-FINRA-2011-071 |
| 34-66276 |
Jan. 30, 2012 |
Order Granting Approval of a Proposed Rule Change to Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
|
| 34-66050 |
Dec. 23, 2011 |
Notice of Filing of Proposed Rule Change to Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: January 20, 2012
|
SR-FINRA-2011-070 |
| 34-65890 |
Dec. 5, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
Comments due: December 30, 2011
|
SR-FINRA-2011-069 |
| 34-66149 |
Jan. 13, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments received are available for this proposal.
|
| 34-65877 |
Dec. 2, 2011 |
Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due: December 29, 2011
Comments received are available for this proposal.
|
SR-FINRA-2011-068 |
| 34-65819 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend FINRA Rule 6121.01 (Trading Pauses) to Exclude Rights and Warrants from the Trading Pause Pilot
Comments due: December 21, 2011
|
SR-FINRA-2011-067 |
| 34-66575 |
Mar 12, 2012 |
Order Approving a Proposed Rule Change Amending FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) Relating to Whistleblower Disputes in Arbitration
|
| 34-65896 |
Dec. 6, 2011 |
Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration
Comments due: January 3, 2011
Comments received are available for this proposal.
|
SR-FINRA-2011-066 |
| 34-65737 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
Comments due: December 8, 2011
|
SR-FINRA-2011-065 |
| 34-65722 |
Nov. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: December 9, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-064 |
| 34-66364 |
Feb. 9, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Comments due: March 7, 2012
|
| 34-65700 |
Nov. 7, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Comments due: December 5, 2011
Comments received are available for this proposal.
|
SR-FINRA-2011-063 |
| 34-66021 |
Dec. 21, 2011 |
Order Approving Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
|
| 34-65692 |
Nov. 4, 2011 |
Notice of Filing of
Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Comments due: December 1, 2011
|
SR-FINRA-2011-062 |
| 34-65944 |
Dec. 13, 2011 |
Order Approving a Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
|
| 34-65656 |
Oct. 28, 2011 |
Notice of Filing of Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
Comments due: November 25, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-061 |
| 34-65618 |
Oct. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Comments due: November 21, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-060 |
| 34-65580 |
Oct. 17, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
Comments due: November 14, 2011
Additional Materials: Text of Proposed Rule Change
br>Comments received are available for this proposal.
|
SR-FINRA-2011-059 |
| 34-66279 |
Jan. 30, 2012 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
|
| 34-65645 |
Oct. 27, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
Comments due: November 23, 2011
Comments received are available for this proposal.
|
SR-FINRA-2011-058 |
| 34-67208 |
Jun. 15, 2012 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-058
|
| 34-66819 |
Apr. 17, 2012 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: May 7, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
| | 34-66168 |
Jan. 17, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: February 14, 2012
Rebuttal comments due: February 28, 2012
Comments received are available for this proposal.
|
| 34-65568 |
Oct. 14, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: November 10, 2011
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2011-057 |
| 34-67157 |
Jun. 7, 2012 |
Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-057
|
| 34-66203 |
Jan. 20, 2012 |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
Comments due: February 27, 2012
Rebuttal comments due: March 12, 2012
|
| 34-65585 |
Oct. 18, 2011 |
Notice of Filing of Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
Comments due: November 14, 2011
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-057
|
SR-FINRA-2011-056 |
| 34-65551 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded "To Be Announced"
Comments due: November 10, 2011
|
SR-FINRA-2011-055 |
| 34-65442 |
Sep. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Comments due: October 26, 2011
|
SR-FINRA-2011-054 |
| 34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
|
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
| 34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received are available for this proposal.
|
| 34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
| 34-65430 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Comments due: October 25, 2011
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-054
|
SR-FINRA-2011-053 |
| 34-65791 |
Nov. 18, 2011 |
Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules
|
| 34-65459 |
Sep. 30, 2011 |
Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules
Comments due: October 27, 2011
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-053
|
SR-FINRA-2011-052 |
| 34-65895 |
Dec. 5, 2011 |
Order Granting Approval of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
|
| 34-65579 |
Oct. 17, 2011 |
Notice of Filing of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
Comments due: November 14, 2011
Additional Materials: Exhibit 2A; Exhibit 2B; Exhibit 2C; Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2011-051 |
| 34-65695 |
Nov. 4, 2011 |
Order Approving Proposed Rule Change to Allow FINRA to Grant Exemptions from Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
|
| 34-65388 |
Sep. 23, 2011 |
Notice of Filing of Proposed Rule Change Relating to Exemption from Certain Reporting Obligations under Equity Trade Reporting Rules for Certain Alternative Trading Systems
Comments due: October 20, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-050 |
| 34-65382 |
Sep. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Comments due: October 19, 2011
|
SR-FINRA-2011-049 |
| 34-65408 |
Sep. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Financial Industry Regulatory Authority, Inc. Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Comments due: October 24, 2011
|
SR-FINRA-2011-048 |
| 34-65375 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 38 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-047 |
| 34-65374 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 37 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-046 |
| 34-65376 |
Sep. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 17 Examination Program
Comments due: October 18, 2011
|
SR-FINRA-2011-045 |
| 34-65358 |
Sep. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise
the Series 7 Examination Program
Comments due: October 18, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-044 |
| 34-66096 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
|
| 34-65787 |
Nov. 18, 2011 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure
Comments due: December 14, 2011
|
SR-FINRA-2011-043 |
| 34-65599 |
Oct. 20, 2011 |
Order Approving Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
See also: Notice: Rel. No. 34-65313
|
| 34-65313 |
Sep. 12, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Comments due: October 7, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-042 |
| 34-65221 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination
Comments due: September 28, 2011
|
SR-FINRA-2011-041 |
| 34-65222 |
Aug. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program
Comments due: September 28, 2011
Additional Materials: Exhibit 3A; Text of Proposed Rule Change
Comments received are available for this proposal.
|
SR-FINRA-2011-040 |
| 34-65137 |
Aug. 11, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
Comments due: September 9, 2011
|
SR-FINRA-2011-039 |
| 34-65101 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: September 7, 2011
|
SR-FINRA-2011-038 |
| 34-65071 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: September 6, 2011
|
SR-FINRA-2011-037 |
| 34-65075 |
Aug. 9, 2011 |
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: September 6, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-036 |
| 34-65086 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts Trust
Comments due: September 6, 2011
|
SR-FINRA-2011-035 |
| 34-66681 |
Mar. 29, 2012 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendments Nos. 1, 2 and 3, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: April 25, 2012
See also: Notice: Rel. No. 34-66049; Notice/Order: Rel. No. 34-65663; and Notice: Rel. No. 34-64984
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-035
|
| 34-66049 |
Dec. 23, 2011 |
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: January 18, 2012
Comments received are available for this proposal.
See also: Notice/Order: Rel. No. 34-66681
Submit comments on SR-FINRA-2011-035
|
| 34-65663 |
Nov. 1, 2011 |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: December 7, 2011
Rebuttal comments due: December 22, 2011
Comments received are available for this proposal.
| | 34-64984 |
Jul. 28, 2011 |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Comments due: August 24, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-034 |
| 34-64892 |
Jul. 14, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 10, 2011
See also: Notice: Rel. No. 34-64892A (Correction)
|
SR-FINRA-2011-033 |
| 34-64884 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: August 9, 2011
|
SR-FINRA-2011-032 |
| 34-64841 |
Jul. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
Comments due: August 4, 2011
|
SR-FINRA-2011-031 |
| 34-65281 |
Sep. 7, 2011 |
Order Granting Approval of Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
|
| 34-64934 |
Jul. 20, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
Comments due: August 16, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-030 |
| 34-64777 |
Jun. 30, 2011 |
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: July 29, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-029 |
| 34-64717 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 18, 2011
|
SR-FINRA-2011-028 |
| 34-65477 |
Oct. 4, 2011 |
Notice of Withdrawal of Proposed Rule Change Relating to the Adoption of Rules Regarding Supervision in the Consolidated FINRA Rulebook
|
| 34-64736 |
Jun. 23, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 20, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-027 |
| 34-65025 |
Aug. 3, 2011 |
Order Approving a Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are part of a Distribution and Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
|
| 34-64706 |
Jun. 20, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
Comments due: July 18, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-026 |
| 34-64961 |
Jul. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
Comments due: August 22, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-025 |
| 34-64665 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: July 11, 2011
|
SR-FINRA-2011-024 |
| 34-64560 |
May 27, 2011 |
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: June 24, 2011
|
SR-FINRA-2011-023 |
| 34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
|
| 34-64424 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
Comments due: June 2, 2011
|
SR-FINRA-2011-021 |
| 34-64369 |
Apr. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Comments due: May 25, 2011
|
SR-FINRA-2011-020 |
| 34-64590 |
Jun. 2, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
|
| 34-64353 |
Apr. 27, 2011 |
Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: May 24, 2011
|
SR-FINRA-2011-019 |
| 34-64397 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
Comments due: May 31, 2011
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-FINRA-2011-018 |
| 34-64386 |
May 3, 2011 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Comments due: May 31, 2011
Additional Materials: Exhibit 5
Comments received are available for this notice.
Submit comments on SR-FINRA-2011-018
|
SR-FINRA-2011-017 |
| 34-64512 |
May 18, 2011 |
Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
See also: Notice: Rel. No. 34-64341
|
| 34-64341 |
Apr. 26, 2011 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: May 16, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-016 |
| 34-64260 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
Comments due: May 4, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-015 |
| 34-64192 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: May 2, 2011
|
SR-FINRA-2011-014 |
| 34-64237 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: May 4, 2011
|
SR-FINRA-2011-013 |
| 34-64687 |
Jun. 16, 2011 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
Comments due: July 13, 2011
Comments received are available for this notice.
|
| 34-64080 |
Mar. 14, 2011 |
Notice of Filing of Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
Comments due: April 8, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-012 |
| 34-64364 |
Apr. 28, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
|
| 34-64283 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
|
| 34-64084 |
Mar. 16, 2011 |
Notice of Filing of Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities
Comments due: April 11, 2011
Additional Materials: Exhibit 5
|
SR-FINRA-2011-011 |
| 34-64363 |
Apr. 28, 2011 |
Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committees
|
| 34-64002 |
Mar. 2, 2011 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance
Comments due: March 28, 2011
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-FINRA-2011-009 |
| 34-63966 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610(a)
Comments due: March 24, 2011
|
SR-FINRA-2011-008 |
| 34-64264 |
Apr. 8, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Public Disclosure of Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security
Comments due: May 4, 2011
Comments received are available for this notice.
Submit comments on SR-FINRA-2011-008
|
| 34-63960 |
Feb. 24, 2011 |
Notice of Filing of a Proposed Rule Change to Require Public Disclosure of Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security
Comments due: March 24, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-007 |
| 34-64005 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correct Cross-References in the Customer Code
Comments due: March 29, 2011
|
SR-FINRA-2011-006 |
| 34-64225 |
Apr. 7, 2011 |
Order Approving Proposed Rule Change Relating to Motions in Arbitration
|
| 34-63910 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change Relating to Motions in Arbitration
Comments due: March 15, 2011
Comments received are available for this notice.
|
SR-FINRA-2011-005 |
| 34-64226 |
Apr. 7, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings
See also: Correction: Rel. No. 34-64226A
|
| 34-63909 |
Feb. 15, 2011 |
Notice of Filing of Proposed Rule Change Relating to Promissory Note Proceedings
Comments due: March 15, 2011
|
SR-FINRA-2011-004 |
| 34-64041 |
Mar. 4, 2011 |
Order Granting Approval of a Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
|
| 34-63751 |
Jan. 21, 2011 |
Notice of Filing of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
Comments due: February 17, 2011
|
SR-FINRA-2011-003 |
| 34-63729 |
Jan. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 15, 2011
|
SR-FINRA-2011-002 |
| 34-63673 |
Jan. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program
Comments due: February 4, 2011
|
SR-FINRA-2011-001 |
| 34-63709 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
Comments due: February 10, 2011
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http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2011.shtml
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