SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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

NASD


Chronological List
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.

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.

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.

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.

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.

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
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.

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.
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.
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.

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.

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.

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.
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
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.

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.
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

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2011.shtml


Modified: 10/16/2014