Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-61217 | Dec 22, 2009 | SR-FINRA-2009-073 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes December 22, 2009. View Received Comments See Also - Rel. No. 34-61497 |
| 34-61211 | Dec 18, 2009 | SR-FINRA-2009-087 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook See Also - Exhibit 5, Rel. No. 34-61473 |
| 34-61189 | Dec 17, 2009 | SR-FINRA-2009-089 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed FINRA Rule 6490 (Processing of Company-Related Actions), To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed Securities and To Implement Fees for Such Services View Received Comments See Also - Exhibit 5, Rel. No. 34-62434 |
| 34-61171 | Dec 15, 2009 | SR-FINRA-2009-086 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook See Also - Exhibit 5, Rel. No. 34-61417 |
| 34-61168 | Dec 15, 2009 | SR-FINRA-2009-090 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating To Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook View Received Comments See Also - Exhibit 5, Rel. No. 34-63895 |
| 34-61165 | Dec 15, 2009 | SR-FINRA-2009-085 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility |
| 34-61160 | Dec 14, 2009 | SR-FINRA-2009-088 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees |
| 34-61122 | Dec 7, 2009 | SR-FINRA-2009-083 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook |
| 34-61116 | Dec 4, 2009 | SR-FINRA-2009-080 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-61332 |
| 34-61105 | Dec 3, 2009 | SR-FINRA-2009-082 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA See Also - Rel. No. 34-61359 |