Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-61408 | Jan 22, 2010 | SR-FINRA-2010-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d) |
| 34-61361 | Jan 14, 2010 | SR-FINRA-2010-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data View Received Comments See Also - Rel. No. 34-61658 |
| 34-61359 | Jan 14, 2010 | SR-FINRA-2009-082 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating To Reporting of Trade Cancellations to FINRA See Also - Rel. No. 34-61105 |
| 34-61338 | Jan 12, 2010 | SR-FINRA-2009-084 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-61083 |
| 34-61332 | Jan 12, 2010 | SR-FINRA-2009-080 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-61116 |
| 34-61311 | Jan 7, 2010 | SR-FINRA-2009-072 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes See Also - Rel. No. 34-61060 |
| 34-61302 | Jan 6, 2010 | SR-FINRA-2009-095 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-61537 |
| 34-61297 | Jan 6, 2010 | SR-FINRA-2009-094 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| 34-61253 | Dec 29, 2009 | SR-FINRA-2009-081 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook See Also - Exhibit 5, Rel. No. 34-61540 |
| 34-61242 | Dec 28, 2009 | SR-FINRA-2009-076 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Amending the FINRA Rule 9550 Series (Expedited Proceedings) See Also - Rel. No. 34-61026 |