Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-61080 | Dec 1, 2009 | SR-FINRA-2009-068 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change Relating to FINRA's Rules Governing Clearly Erroneous Executions See Also - Rel. No. 34-60851 |
| 34-61087 | Dec 1, 2009 | SR-FINRA-2009-078 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules |
| 34-61083 | Dec 1, 2009 | SR-FINRA-2009-084 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook See Also - Exhibit 5, Rel. No. 34-61338 |
| 34-61090 | Dec 1, 2009 | SR-FINRA-2009-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 To Adopt FINRA Rule 2380 To Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions View Received Comments See Also - Rel. No. 34-60172 |
| 34-61071 | Nov 30, 2009 | SR-FINRA-2009-067 | Financial Industry Regulatory Authority (FINRA) | Order Entry and Execution Practices) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60850 |
| 34-61060 | Nov 24, 2009 | SR-FINRA-2009-072 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes View Received Comments See Also - Rel. No. 34-61311 |
| 34-61059 | Nov 24, 2009 | SR-FINRA-2009-059 | Financial Industry Regulatory Authority (FINRA) | Order Appoving Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 See Also - Rel. No. 34-60754 |
| 34-61057 | Nov 24, 2009 | SR-FINRA-2009-075 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Code of Arbitration Procedure for Customer and Industry Disputes View Received Comments See Also - Rel. No. 34-61505 |
| 34-61052 | Nov 23, 2009 | SR-FINRA-2009-066 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60824 |