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

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Chronological List
First Quarter

FINRA File Number List for 2012

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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.  Submit comments on SR-FINRA-2012-050
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.  Submit comments on SR-FINRA-2012-024
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.  Submit comments on SR-FINRA-2012-021
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.  Submit comments on SR-FINRA-2011-075
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.  Submit comments on SR-FINRA-2012-050
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.  Submit comments on SR-FINRA-2012-024
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.  Submit comments on SR-FINRA-2012-021
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