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Financial Industry Regulatory Authority (FINRA) Rulemaking
Rulemaking Archive: 2012

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
First Quarter

FINRA File Number List for 2012

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2012-010
34-68526 Dec. 21, 2012 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Comments due: January 22, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-68874

SR-FINRA-2012-054
34-68475 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add the Term Chief Legal Officer to the Definition of General Counsel
Comments due: January 16, 2013

SR-FINRA-2012-055
34-68468 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
Comments due: January 16, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2012-056
34-68471 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: January 16, 2013
Comments received are available for this proposal.

SR-FINRA-2012-052
34-68414 Dec. 12, 2012 Notice of Filing of Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Comments due: January 8, 2013
See also:  Notice: Rel. No. 34-69037, Notice: Rel. No. 34-68768
Comments received are available for this proposal.

SR-FINRA-2012-041
34-68404 Dec. 11, 2012 Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
See also:  Notice: Rel. No. 34-67803

SR-FINRA-2012-053
34-68387 Dec. 7, 2012 Notice of Filing of Proposed Rule Change to Establish Optional TRACE Data Delivery Services and Related Fees
Comments due: January 3, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-68675

SR-FINRA-2009-060
34-68386 Dec. 7, 2012 Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
Comments due: January 3, 2013
See also:  Notice: Rel. No. 34-60836

SR-FINRA-2012-051
34-68325 Nov. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
Comments due: December 27, 2012

SR-FINRA-2012-050
34-68270 Nov. 20, 2012 Notice of Filing of Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: December 18, 2012
See also:  Notice: Rel. No. 34-68832
Comments received are available for this proposal.

SR-FINRA-2012-049
34-68255 Nov. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
Comments due: December 17, 2012
Additional Materials:  Exhibit 5

SR-FINRA-2012-048
34-68192 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
Comments due: December 6, 2012

SR-FINRA-2012-040
34-68142 Nov. 2, 2012 Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify that Services Provided by Mediators Should Not Cause Them to be Classified as Industry Members under the By-Laws
See also:  Notice: Rel. No. 34-67784

SR-FINRA-2012-042
34-68084 Oct. 23, 2012 Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
See also:   Order: Rel. No. 34-67798 and Correction: Rel. No. 34-68084A

SR-FINRA-2012-047
34-68076 Oct. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due:  November 16, 2012

SR-FINRA-2012-046
34-68075 Oct. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
Comments due:  November 16, 2012

SR-FINRA-2012-045
34-68037 Oct. 11, 2012 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
Comments due:  November 7, 2012

SR-FINRA-2012-044
34-67971 Oct. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
Comments due:  October 31, 2012
Third Quarter

SR-FINRA-2012-043
34-67880 Sep. 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete FINRA Rule 7064A (Late Fees)
Comments due:  October 15, 2012

SR-FINRA-2012-041
34-67803 Sep. 7, 2012 Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
Comments due:  October 4, 2012
See also:   Order: Rel. No. 34-68404
Comments received are available for this proposal.

SR-FINRA-2012-042
34-67798 Sep. 7, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due:  October 4, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-68084

SR-FINRA-2012-040
34-67784 Sep. 5, 2012 Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
Comments due:  October 2, 2012
See also:   Order: Rel. No. 34-68142
Comments received are available for this proposal.

SR-FINRA-2012-026
34-67778 Sep. 4, 2012 Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
See also:   Notice: Rel. No. 34-67471, and Notice: Rel. No. 34-67085

SR-FINRA-2012-025
34-67774 Sep. 4, 2012 Order Approving Proposed Rule Change, as modified by Amendment No. 1, to Adopt Existing NASD IM-2110-3 as New FINRA Rule 5270 (Front Running of Block Transactions) with Changes in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-67079

SR-FINRA-2012-024
34-67751 Aug. 29, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4210 (Margin Requirements)
Comments due:  September 26, 2012
See also:   Notice: Rel. No. 34-67088

SR-FINRA-2012-038
34-67579 Aug. 2, 2012 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:  August 29, 2012

SR-FINRA-2012-037
34-67578 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend the Effective Date of the Trading Pause Pilot
Comments due:  August 29, 2012

SR-FINRA-2009-028
34-67588 Aug. 2, 2012 Notice of Withdrawal of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
See also:   Notice: Rel. No. 34-64969A, Notice: Rel. No. 34-64969, and Notice: Rel. No. 34-59921

SR-FINRA-2012-036
34-67484 Jul. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
Comments due:  August 17, 2012

SR-FINRA-2012-026
34-67471 Jul. 19, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
See also:   Order: Rel. No. 34-67778, and Notice: Rel. No. 34-67085

SR-FINRA-2012-035
34-67449 Jul. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  August 13, 2012

SR-FINRA-2012-034
34-67427 Ju1. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments such as ETFs
Comments due:  August 16, 2012

SR-FINRA-2012-032
34-67385 Ju1. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility
Comments due:  August 6, 2012
Second Quarter

SR-FINRA-2012-033
34-67257 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due:  July 23, 2012

SR-FINRA-2012-030
34-67247 Jun. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
Comments due:  July 20, 2012
Comments received are available for this proposal.

SR-FINRA-2012-023
34-67242 Jun. 22, 2012 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. 34-66924

SR-FINRA-2012-029
34-67241 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110
Comments due:  July 19, 2012
Comments received are available for this proposal.

SR-FINRA-2012-031
34-67240 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
Comments due:  July 19, 2012
Comments received are available for this proposal.

SR-FINRA-2012-028
34-67239 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Comments due:  July 19, 2012
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:  July 12, 2012
See also:  ; Notice: Rel. No. 34-66819; Order: Rel. No. 34-66168; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.

SR-FINRA-2012-027
34-67176 Jun. 11, 2012 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:  July 6, 2012

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:  July 5, 2012
See also:   Notice: Rel. No. 34-65585 and Notice: Rel. No. 34-66203
Comments received are available for this proposal.

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
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65430

SR-FINRA-2012-024
34-67088 May 31, 2012 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4210 Margin Requirements
Comments due:  June 27, 2012
See also:   Notice: Rel. No. 34-67551
Comments received are available for this proposal.

SR-FINRA-2012-026
34-67085 May 31, 2012 Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Comments due:  June 27, 2012
See also:   Order: Rel. No. 34-67778, and Notice: Rel. No. 34-67471
Comments received are available for this proposal.

SR-FINRA-2012-018
34-67082 May 31, 2012 Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt Form CMA
See also:   Notice: Rel. No. 34-66508

SR-FINRA-2012-025
34-67079 May 30, 2012 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Comments due:  June 27, 2012
See also:   Order: Rel. No. 34-67774
Comments received are available for this proposal.

SR-FINRA-2012-021
34-67063 May 25, 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 in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
See also:   Notice: Rel. No. 34-66804

SR-FINRA-2012-011
34-67040 May 22, 2012 Order Approving a Proposed Rule Change Amending FINRA Rule 14107 of the Code of Mediation Procedure to Provide the Director of Mediation with Discretion to DetermineWhether Parties to a FINRA Mediation May Select a Mediator Who is Not on FINRA's Mediator Roster
See also:   Notice: Rel. No. 34-66441

SR-FINRA-2012-023
34-66924 May 4, 2012 Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due:  May 31, 2012
See also:   Order: Rel. No. 34-67242
Comments received are available for this proposal.

SR-FINRA-2012-012
34-66913 May 3, 2012 Order Approving a Proposed Rule Change Amending FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
See also:   Notice: Rel. No. 34-66442

SR-FINRA-2012-001
34-66872 Apr. 27, 2012 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due:  May 24, 2012
See also:   Notice: Rel. No. 34-66220
Comments received are available for this proposal.

SR-FINRA-2012-020
34-66829 Apr. 18, 2012 Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
See also:   Notice: Rel. No. 34-66577

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
See also:   Notice/Order: Rel No. 34-67208; Notice: Rel. No. 34-66819; Order: Rel. No. 34-66168; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.

SR-FINRA-2012-021
34-66804 Apr. 13, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due:  May 10, 2012
Additional Materials:   Exhibit 5
See also:   Notice: Rel. No. 34-67063
Comments received are available for this proposal.

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
See also:   Notice: Rel. No. 34-66109
First Quarter

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.

SR-FINRA-2011-054
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
See also:  Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65430

SR-FINRA-2012-020
34-66577 Mar. 12, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due:  April 6, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-66829

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
See also:   Notice: Rel. No. 34-65896

SR-FINRA-2012-019
34-66562 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Comments due:  April 5, 2012

SR-FINRA-2012-017
34-66555 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
Comments due:  April 5, 2012

SR-FINRA-2012-014
34-66528 Mar. 7, 2012 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  April 3, 2012

SR-FINRA-2012-015
34-66527 Mar. 7, 2012 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  April 3, 2012

SR-FINRA-2012-016
34-66513 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules
Comments due:  March 30, 2012

SR-FINRA-2012-018
34-66508 Mar. 2, 2012 Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
Comments due:  March 29, 2012
Comments received are available for this proposal.
See also:   Notice/Order: Rel. No. 34-67082

SR-FINRA-2012-009
34-66465 Feb. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Comments due:  March 22, 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
See also:   Notice: Rel. No. 34-66080

SR-FINRA-2012-012
34-66442 Feb. 22, 2012 Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration
Comments due:  March 20, 2012
See also:   Order: Rel. No. 34-66913
Comments received are available for this proposal.

SR-FINRA-2012-011
34-66441 Feb. 22, 2012 Notice of Filing of Proposed Rule Change Relating to Mediator Selection
Comments due:  March 20, 2012
See also:   Order: Rel. No. 34-67040
Comments received are available for this proposal.

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
See also:   Notice: Rel. No. 34-65700

SR-FINRA-2012-007
34-66328 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due:  March 2, 2012

SR-FINRA-2012-008
34-66287 Feb. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due:  February 28, 2012

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
See also:   Notice: Rel. No. 34-65645

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
See also:   Notice: Rel. No. 34-66050

SR-FINRA-2012-006
34-66270 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due:  February 24, 2012

SR-FINRA-2012-005
34-66254 Jan. 26, 2012 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:  February 22, 2012

SR-FINRA-2012-003
34-66244 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due:  February 22, 2012

SR-FINRA-2012-001
34-66220 Jan. 24, 2012 Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due:  February 21, 2012
See also:   Notice: Rel. No. 34-66872
Comments received are available for this proposal.

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
See also:   Notice: Rel. No. 34-65585 and Notice: Rel. No. 34-67157
Comments received are available for this proposal.

SR-FINRA-2011-058
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
See also:   Notice/Order: Rel. No.34-67208; Notice: Rel. No. 34-66819; and Notice: Rel. No. 34-65568
Comments received are available for this proposal.

SR-FINRA-2012-004
34-66156 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due:  February 10, 2012
Comments received are available for this proposal.

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
See also:   Notice: Rel. No. 34-65877
Comments received are available for this proposal.

SR-FINRA-2011-075
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:  21 days after publication in the Federal Register
See also:   Notice: Rel. No. 34-66774
Comments received are available for this proposal.

SR-FINRA-2011-044
34-66096 Jan. 4, 2012 Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
See also:   Notice: Rel. No. 34-65787

SR-FINRA-2011-073
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.


FINRA File Number List for 2012
Release No. Date Details

SR-FINRA-2012-056
34-68471 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: January 16, 2013
Comments received are available for this proposal.

SR-FINRA-2012-055
34-68468 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
Comments due: January 16, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2012-054
34-68475 Dec. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add the Term Chief Legal Officer to the Definition of General Counsel
Comments due: January 16, 2013

SR-FINRA-2012-053
34-68675 Jan. 16, 2013 Order Approving Proposed Rule Change to Establish Optional TRACE Data Delivery Services and Related Fees
34-68387 Dec. 7, 2012 Notice of Filing of Proposed Rule Change to Establish Optional TRACE Data Delivery Services and Related Fees
Comments due: January 3, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2012-052
34-69037 Mar. 5, 2013 Order Granting Approval of Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
34-68768 Jan. 30, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
34-68414 Dec. 12, 2012 Notice of Filing of Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
Comments due: January 8, 2013
Comments received are available for this proposal.

SR-FINRA-2012-051
34-68325 Nov. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
Comments due: December 27, 2012

SR-FINRA-2012-050
34-68832 Feb. 5, 2013 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: March 4, 2013
34-68270 Nov. 20, 2012 Notice of Filing of Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: December 18, 2012
Comments received are available for this proposal.

SR-FINRA-2012-049
34-68255 Nov. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
Comments due: December 17, 2012
Additional Materials:  Exhibit 5

SR-FINRA-2012-048
34-68192 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
Comments due: December 6, 2012

SR-FINRA-2012-047
34-68076 Oct. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due:  November 16, 2012

SR-FINRA-2012-046
34-68075 Oct. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
Comments due:  November 16, 2012

SR-FINRA-2012-045
34-68037 Oct. 11, 2012 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend NASD Rule 2711 and Incorporated NYSE Rule 472 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
Comments due:  November 7, 2012

SR-FINRA-2012-044
34-67971 Oct. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
Comments due:  October 31, 2012

SR-FINRA-2012-043
34-67880 Sep. 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete FINRA Rule 7064A (Late Fees)
Comments due:  October 15, 2012

SR-FINRA-2012-042
34-68084 Oct. 23, 2012 Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
See also: Correction: Rel. No. 34-68084A
34-67798 Sep. 7, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due:  October 4, 2012
Additional Materials:   Exhibit 5

SR-FINRA-2012-041
34-68404 Dec. 11, 2012 Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
34-67803 Sep. 7, 2012 Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas
Comments due:  October 4, 2012
Comments received are available for this proposal.

SR-FINRA-2012-040
34-68142 Nov. 2, 2012 Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify that Services Provided by Mediators Should Not Cause Them to be Classified as Industry Members under the By-Laws
34-67784 Sep. 5, 2012 Notice of Filing of Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
Comments due:  October 2, 2012
Comments received are available for this proposal.

SR-FINRA-2012-038
34-67579 Aug. 2, 2012 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:  August 29, 2012

SR-FINRA-2012-037
34-67578 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend the Effective Date of the Trading Pause Pilot
Comments due:  August 29, 2012

SR-FINRA-2012-036
34-67484 Jul. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
Comments due:  August 17, 2012

SR-FINRA-2012-035
34-67449 Jul. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  August 13, 2012

SR-FINRA-2012-034
34-67427 Ju1. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments such as ETFs
Comments due:  August 16, 2012

SR-FINRA-2012-033
34-67257 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due:  July 23, 2012

SR-FINRA-2012-032
34-67385 Ju1. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility
Comments due:  August 6, 2012

SR-FINRA-2012-031
34-67240 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
Comments due:  July 19, 2012
Comments received are available for this proposal.

SR-FINRA-2012-030
34-67247 Jun. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
Comments due:  July 20, 2012
Comments received are available for this proposal.

SR-FINRA-2012-029
34-67241 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110
Comments due:  July 19, 2012
Comments received are available for this proposal.

SR-FINRA-2012-028
34-67239 Jun. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
Comments due:  July 19, 2012
Comments received are available for this proposal.

SR-FINRA-2012-027
34-67176 Jun. 11, 2012 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:  July 6, 2012

SR-FINRA-2012-026
34-67778 Sep. 4, 2012 Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
34-67471 Jul. 19, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
34-67085 May 31, 2012 Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
Comments due:  June 27, 2012
Comments received are available for this proposal.

SR-FINRA-2012-025
34-67774 Sep. 4, 2012 Order Approving Proposed Rule Change, as modified by Amendment No. 1, to Adopt Existing NASD IM-2110-3 as New FINRA Rule 5270 (Front Running of Block Transactions) with Changes in the Consolidated FINRA Rulebook
34-67079 May 30, 2012 Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
Comments due:  June 27, 2012
Comments received are available for this proposal.

SR-FINRA-2012-024
34-67751 Aug. 29, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 4210 (Margin Requirements)
Comments due:  September 26, 2012
34-67088 May 31, 2012 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4210 Margin Requirements
Comments due:  June 27, 2012
Comments received are available for this proposal.

SR-FINRA-2012-023
34-67242 Jun. 22, 2012 Order Granting Approval of a Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
34-66924 May 4, 2012 Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due:  May 31, 2012
Comments received are available for this proposal.

SR-FINRA-2012-021
34-67063 May 25, 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 in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
34-66804 Apr. 13, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Comments due:  May 10, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2012-020
34-66829 Apr. 18, 2012 Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
34-66577 Mar. 12, 2012 Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Comments due:  April 6, 2012
Additional Materials:   Exhibit 5

SR-FINRA-2012-019
34-66562 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council
Comments due:  April 5, 2012

SR-FINRA-2012-018
34-67082 May 31, 2012 Notice of Filing of Amendment No. 1 and Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1, to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt Form CMA
See also:   Notice: Rel. No. 34-66508
34-66508 Mar. 2, 2012 Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA
Comments due:  March 29, 2012
Comments received are available for this proposal.
See also:   Notice/Order: Rel. No. 34-67082

SR-FINRA-2012-017
34-66555 Mar. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
Comments due:  April 5, 2012

SR-FINRA-2012-016
34-66513 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules
Comments due:  March 30, 2012

SR-FINRA-2012-015
34-66527 Mar. 7, 2012 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  April 3, 2012

SR-FINRA-2012-014
34-66528 Mar. 7, 2012 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due:  April 3, 2012

SR-FINRA-2012-012
34-66913 May 3, 2012 Order Approving a Proposed Rule Change Amending FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, to Raise the Limit for Simplified Arbitration from $25,000 to $50,000
34-66442 Feb. 22, 2012 Notice of Filing of Proposed Rule Change Relating to Raising the Limit for Simplified Arbitration
Comments due:  March 20, 2012
Comments received are available for this proposal.

SR-FINRA-2012-011
34-67040 May 22, 2012 Order Approving a Proposed Rule Change Amending FINRA Rule 14107 of the Code of Mediation Procedure to Provide the Director of Mediation with Discretion to DetermineWhether Parties to a FINRA Mediation May Select a Mediator Who is Not on FINRA's Mediator Roster
34-66441 Feb. 22, 2012 Notice of Filing of Proposed Rule Change Relating to Mediator Selection
Comments due:  March 20, 2012
Comments received are available for this proposal.

SR-FINRA-2012-010
34-68874 Feb. 8, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
34-68526 Dec. 21, 2012 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Comments due: January 22, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2012-009
34-66465 Feb. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Comments due:  March 22, 2012

SR-FINRA-2012-008
34-66287 Feb. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due:  February 28, 2012

SR-FINRA-2012-007
34-66328 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due:  March 2, 2012

SR-FINRA-2012-006
34-66270 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due:  February 24, 2012

SR-FINRA-2012-005
34-66254 Jan. 26, 2012 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:  February 22, 2012

SR-FINRA-2012-004
34-66156 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due:  February 10, 2012
Comments received are available for this proposal.

SR-FINRA-2012-003
34-66244 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due:  February 22, 2012

SR-FINRA-2012-001
34-66872 Apr. 27, 2012 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due:  May 24, 2012
34-66220 Jan. 24, 2012 Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due:  February 21, 2012
Comments received are available for this proposal.

 

 

 

 

 

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2012.shtml


Modified: 05/13/2014