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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2013

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 2013

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2013-048
34-71196 Dec. 27, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
See also:  Notice: Rel. No. 34-70876

SR-FINRA-2013-047
34-71195 Dec. 27, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
See also:  Notice: Rel. No. 34-70880

SR-FINRA-2013-039
34-71180 Dec. 24, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
See also:  Order: Rel. No. 34-71927; Notice: Rel. No. 34-71819; Notice: Rel. No. 34-71629; Notice: Rel. No. 34-70482

SR-FINRA-2013-025
34-71179 Dec. 23, 2013 Order Granting Approval of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1
See also:  Notice: Rel. No. 34-70612, Notice: Rel. No. 34-69902
Comments received are available for this proposal.

SR-FINRA-2013-053
34-71147 Dec. 19, 2013 Notice of Filing of a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Comments due: January 16, 2014
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71467

SR-FINRA-2013-052
34-71042 Dec. 11, 2013 Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 7, 2014
Additional Materials:  Exhibit 3
See also:  Order: Rel. No. 34-71457

SR-FINRA-2013-051
34-71027 Dec. 9, 2013 Notice of Filing of a Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
Comments due: January 3, 2014
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71626, Notice: Rel. No. 34-71373

SR-FINRA-2013-036
34-70966 Dec. 3, 2013 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: December 30, 2013
Rebuttal comments due: January 13, 2013
See also:  Notice: Rel. No. 34-70276Notice: Rel. No. 34-70613;   Notice: 34-71636

SR-FINRA-2013-035
34-70958 Nov. 27, 2013 Order Approving Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as Modified by Partial Amendments No. 1 and No. 2
See also:  Notice: Rel. No. 34-70272

SR-FINRA-2013-037
34-70957 Nov. 27, 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 Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: December 26, 2013
See also:  Notice: Rel. No. 34-70312
Comments received are available for this proposal.

SR-FINRA-2013-050
34-70924 Nov. 22, 2013 Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: December 20, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-71623, Notice: Rel. No. 34-71262

SR-FINRA-2013-046
34-70906 Nov. 20, 2013 Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
Comments due: December 17, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-71607, Notice: Rel. No. 34-71282

SR-FINRA-2013-048
34-70876 Nov. 14, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
Comments due: December 11, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71196

SR-FINRA-2013-047
34-70880 Nov. 14, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
Comments due: December 11, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71195

SR-FINRA-2013-049
34-70839 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: December 6, 2013

SR-FINRA-2013-031
34-70776 Oct. 30, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: November 26, 2013
Rebuttal comments due: December 10, 2013

See also:  Order: Rel. No. 34-71407, Notice: Rel. No. 34-70358, Notice: Rel. No. 34-70048

SR-FINRA-2013-045
34-70744 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 6 Examination Program
Comments due: November 19, 2013
Comments received are available for this proposal.

SR-FINRA-2013-044
34-70702 Oct. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: November 13, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-043
34-70691 Oct. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-042
34-70676 Oct. 11, 2013 Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
See also:  Notice and Order: Rel. No. 34-71341
Comments received are available for this proposal.

SR-FINRA-2013-027
34-70619 Oct. 7, 2013 Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
See also:  Notice: Rel. No. 34-69913

SR-FINRA-2013-036
34-70613 Oct. 4, 2013 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
See also:  Notice: Rel. No. 34-70613Notice: Rel. No. 34-70966;   34-71636

SR-FINRA-2013-025
34-70612 Oct. 4, 2013 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: November 12, 2013
See also:  Order: Rel. No. 34-71179, Notice: Rel. No. 34-69902
Comments received are available for this proposal.
Third Quarter

SR-FINRA-2013-033
34-70521 Sep. 26, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2))
See also:  Notice: Rel. No. 34-70131

SR-FINRA-2013-041
34-70516 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-040
34-70483 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
Comments due: October 21, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-039
34-70482 Sep. 24, 2013 Notice of Filing of Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: October 21, 2013
See also:  Order: Rel. No. 34-71180
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71927, Notice: Rel. No. 34-71819, Notice: Rel. No. 34-71629, Notice: Rel. No. 34-71180

SR-FINRA-2013-023
34-70442 Sep. 18, 2013 Order Approving Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
See also:  Notice: Rel. No. 34-69762

SR-FINRA-2013-024
34-70419 Sep. 16, 2013 Order Approving Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by Amendment No. 1
See also:  Notice: Rel. No. 34-69761

SR-FINRA-2013-031
34-70358 Sep. 10, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility
See also:  Order: Rel. No. 34-71407, Order: Rel. No. 34-70776, Notice: Rel. No. 34-70048

SR-FINRA-2013-029
34-70345 Sep. 6, 2013 Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
See also:  Notice: Rel. No. 34-70009

SR-FINRA-2013-037
34-70312 Sep. 4, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131
Comments due: October 1, 2013
See also:  Notice: Rel. No. 34-70957
Comments received are available for this proposal.

SR-FINRA-2013-038
34-70288 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due: September 26, 2013

SR-FINRA-2013-036
34-70276 Aug. 28, 2013 Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: September 25, 2013
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-70613Notice: Rel. No. 34-70966;   34-71636

SR-FINRA-2013-035
34-70272 Aug. 27, 2013 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
Comments due: September 24, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70958
Comments received are available for this proposal.

SR-FINRA-2013-032
34-70268 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 16 Examination Program
Comments due: September 24, 2013

SR-FINRA-2013-034
34-70227 Aug. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Comments due: September 13, 2013
Comments received are available for this proposal.

SR-FINRA-2013-033
34-70131 Aug. 7, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))
Comments due: September 3, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70521
Comments received are available for this proposal.

SR-FINRA-2013-031
34-70048 Jul. 26, 2013 Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: August 22, 2013
See also: 
See also:  Order: Rel. No. 34-71407, Order: Rel. No. 34-70776, Notice: Rel. No. 34-70358
Comments received are available for this proposal.

SR-FINRA-2013-029
34-70009 Jul. 19, 2013 Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Comments due: August 15, 2013
Additional Materials:  Exhibit 2, Exhibit 5
See also:  Order: Rel. No. 34-70345
Comments received are available for this proposal.

SR-FINRA-2013-030
34-69993 Jul. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 12, 2013

SR-FINRA-2013-028
34-69966 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 55 Examination Program
Comments due: August 6, 2013

SR-FINRA-2013-027
34-69913 Jul. 2, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70619
Comments received are available for this proposal.

SR-FINRA-2013-025
34-69902 Jul. 1, 2013 Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 29, 2013
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-71179, Notice: Rel. No. 34-70612
Second Quarter

SR-FINRA-2013-026
34-69843 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)
Comments due: July 22, 2013
Comments received are available for this proposal.

SR-FINRA-2013-018
34-69825 Jun. 21, 2013 Order Approving Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as Modified by Amendment No. 1.
See also:  Notice: Rel. No. 34-69178

SR-FINRA-2013-023
34-69762 Jun. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
Comments due: July 11, 2013
See also:  Order: Rel. No. 34-70442
Comments received are available for this proposal.

SR-FINRA-2013-024
34-69761 Jun. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings
Comments due: July 11, 2013
See also:  Order: Rel. No. 34-70419
Comments received are available for this proposal.

SR-FINRA-2013-022
34-69702 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions
Comments due: July 2, 2013

SR-FINRA-2013-013
34-69561 May 13, 2013 Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also:  Notice: Rel. No. 34-69173, Notice: Rel. No. 34-68842

SR-FINRA-2013-021
34-69543 May 9, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: June 5, 2013

SR-FINRA-2013-002
34-69440 Apr. 24, 2013 Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also:  Notice: Rel. No. 34-69063, Notice: Rel. No. 34-68700

SR-FINRA-2013-020
34-69398 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-003
34-69297 Apr. 4, 2013 Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
See also:  Notice: Rel. No. 34-68632

SR-FINRA-2013-019
34-69262 Apr. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013
First Quarter

SR-FINRA-2013-018
34-69178 Mar. 19, 2013 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69825
Comments received are available for this proposal.

SR-FINRA-2013-013
34-69173 Mar. 19, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also:  Order: Rel. No. 34-69561, Notice: Rel. No. 34-68842

SR-FINRA-2013-017
34-69089 Mar. 8, 2013 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received are available for this proposal.

SR-FINRA-2013-002
34-69063 Mar. 7, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also:  Notice: Rel. No. 34-69440, Notice: Rel. No. 34-68700

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
See also:  Notice: Rel. No. 34-68768, Notice: Rel. No. 34-68414

SR-FINRA-2013-016
34-68985 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-015
34-68942 Feb. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-014
34-68918 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials:  Exhibit 5

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)
See also:  Notice: Rel. No. 34-68526

SR-FINRA-2013-010
34-68855 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-009
34-68846 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013

SR-FINRA-2013-013
34-68842 Feb. 6, 2013 Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69561, Notice: Rel. No. 34-69173
Comments received are available for this proposal.

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
See also:  Notice: Rel. No. 34-68270

SR-FINRA-2013-012
34-68808 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013

SR-FINRA-2013-011
34-68778 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013

SR-FINRA-2013-008
34-68775 Jan. 31, 2013 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 27, 2013

SR-FINRA-2012-052
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
See also:  Notice: Rel. No. 34-69037, Notice: Rel. No. 34-68414

SR-FINRA-2013-006
34-68701 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-002
34-68700 Jan. 18, 2013 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
See also:  Notice: Rel. No. 34-69440, Notice: Rel. No. 34-69063
Comments received are available for this proposal.

SR-FINRA-2013-004
34-68692 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 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
See also:  Notice: Rel. No. 34-68387

SR-FINRA-2013-001
34-68650 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013

SR-FINRA-2013-005
34-68633 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013

SR-FINRA-2013-003
34-68632 Jan. 11, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
See also:  Order: Rel. No. 34-69297
Comments received are available for this proposal.


FINRA File Number List for 2013
Release No. Date Details

SR-FINRA-2013-056
34-71272 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials), Which Includes Fees for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establish a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-055
34-71231 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 2360 (Options) Position Limits
Comments due: January 29, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-054
34-71575 Feb. 19, 2014 Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan
34-71224 Jan. 2, 2014 Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan
Comments due: January 29, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-053
34-71467 Feb. 3, 2014 Order Approving a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
34-71147 Dec. 19, 2013 Notice of Filing of a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Comments due: January 16, 2014
Additional Materials:  Exhibit 5

SR-FINRA-2013-052
34-71457 Jan. 31, 2014 Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant
34-71042 Dec. 11, 2013 Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 7, 2014
Additional Materials:  Exhibit 3

SR-FINRA-2013-051
34-71626 Feb. 27, 2014 Order Approving Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
34-71373 Jan. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
34-71027 Dec. 9, 2013 Notice of Filing of a Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
Comments due: January 3, 2014
Comments received are available for this proposal.

SR-FINRA-2013-050
34-71623 Feb. 27, 2014 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 Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: 21 days after publication in the Federal Register
34-71262 Jan. 9, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
34-70924 Nov. 22, 2013 Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: December 20, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-049
34-70839 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: December 6, 2013

SR-FINRA-2013-048
34-71196 Dec. 27, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
34-70876 Nov. 14, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
Comments due: December 11, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-047
34-71195 Dec. 27, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
34-70880 Nov. 14, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
Comments due: December 11, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-046
34-71607 Feb. 24, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
34-71282 Jan. 10, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
34-70906 Nov. 20, 2013 Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
Comments due: December 17, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-045
34-70744 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 6 Examination Program
Comments due: November 19, 2013
Comments received are available for this proposal.

SR-FINRA-2013-044
34-70702 Oct. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: November 13, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-043
34-70691 Oct. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-042
34-71341 Jan. 17, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: February 14, 2014
34-70676 Oct. 11, 2013 Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-041
34-70516 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-040
34-70483 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
Comments due: October 21, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-039
34-71819 Mar. 27, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Clarify the Classification and Reporting of Certain Securities to FINRA
34-71629 Feb. 27, 2014 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: 21 days after publication in the Federal Register
34-71180 Dec. 24, 2013 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
34-70482 Sep. 24, 2013 Notice of Filing of Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: October 21, 2013
Comments received are available for this proposal.

SR-FINRA-2013-038
34-70288 Aug. 29, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due: September 26, 2013

SR-FINRA-2013-037
34-70957Nov. 27, 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 Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: December 26, 2013
Comments received are available for this proposal.
34-70312 Sep. 4, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131
Comments due: October 1, 2013
Comments received are available for this proposal.

SR-FINRA-2013-036
34-71636 Feb. 28, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
34-70966 Dec. 3, 2013 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: December 30, 2013
Rebuttal comments due: January 13, 2013
Comments received are available for this proposal.
34-70613 Oct. 4, 2013 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
34-70276 Aug. 28, 2013 Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: September 25, 2013
Comments received are available for this proposal.

SR-FINRA-2013-035
34-70958 Nov. 27, 2013 Order Approving Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as Modified by Partial Amendments No. 1 and No. 2
34-70272 Aug. 27, 2013 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
Comments due: September 24, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-034
34-70227 Aug. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Comments due: September 13, 2013
Comments received are available for this proposal.

SR-FINRA-2013-033
34-70521 Sep. 26, 2013 Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2))
34-70131 Aug. 7, 2013 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))
Comments due: September 3, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-032
34-70268 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 16 Examination Program
Comments due: September 24, 2013

SR-FINRA-2013-031
34-71407 Jan. 27, 2014 Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility
34-70776 Oct. 30, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: November 26, 2013
Rebuttal comments due: December 10, 2013
34-70358 Sep. 10, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility
34-70048 Jul. 26, 2013 Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: August 22, 2013
Comments received are available for this proposal.

SR-FINRA-2013-030
34-69993 Jul. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 12, 2013

SR-FINRA-2013-029
34-70345 Sep. 6, 2013 Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
34-70009 Jul. 19, 2013 Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Comments due: August 15, 2013
Additional Materials:  Exhibit 2, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-028
34-69966 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 55 Examination Program
Comments due: August 6, 2013

SR-FINRA-2013-027
34-70619 Oct. 7, 2013 Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
See also:  Notice: Rel. No. 34-69913
34-69913 Jul. 2, 2013 Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-026
34-69843 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)
Comments due: July 22, 2013
Comments received are available for this proposal.

SR-FINRA-2013-025
34-71179 Dec. 23, 2013 Order Granting Approval of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1
34-70612 Oct. 4, 2013 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: November 12, 2013
Comments received are available for this proposal.
34-69902 Jul. 1, 2013 Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 29, 2013
Comments received are available for this proposal.

SR-FINRA-2013-024
34-70419 Sep. 16, 2013 Order Approving Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by Amendment No. 1
34-69761 Jun. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings
Comments due: July 11, 2013
Comments received are available for this proposal.

SR-FINRA-2013-023
34-70442 Sep. 18, 2013 Order Approving Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
34-69762 Jun. 13, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
Comments due: July 11, 2013
Comments received are available for this proposal.

SR-FINRA-2013-022
34-69702 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions
Comments due: July 2, 2013

SR-FINRA-2013-021
34-69543 May 9, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: June 5, 2013

SR-FINRA-2013-020
34-69398 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-019
34-69262 Apr. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013

SR-FINRA-2013-018
34-69825 Jun. 21, 2013 Order Approving Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as Modified by Amendment No. 1.
34-69178 Mar. 19, 2013 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-017
34-69089 Mar. 8, 2013 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received are available for this proposal.

SR-FINRA-2013-016
34-68985 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-015
34-68942 Feb. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-014
34-68918 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-013
34-69561 May 13, 2013 Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
34-69173 Mar. 19, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
34-68842 Feb. 6, 2013 Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-012
34-68808 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013

SR-FINRA-2013-011
34-68778 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013

SR-FINRA-2013-010
34-68855 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-FINRA-2013-009
34-68846 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013

SR-FINRA-2013-008
34-68775 Jan. 31, 2013 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 27, 2013

SR-FINRA-2013-006
34-68701 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2013-005
34-68633 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013

SR-FINRA-2013-004
34-68692 Jan. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 2013

SR-FINRA-2013-003
34-69297 Apr. 4, 2013 Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
34-68632 Jan. 11, 2013 Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
Comments received are available for this proposal.

SR-FINRA-2013-002
34-69440 Apr. 24, 2013 Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
34-69063 Mar. 7, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
34-68700 Jan. 18, 2013 Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
Comments received are available for this proposal.

SR-FINRA-2013-001
34-68650 Jan. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2013.shtml


Modified: 04/11/2014