Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-61042 | Nov 20, 2009 | SR-FINRA-2009-057 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws To Amend the Personnel Assessment and Gross Income Assessment See Also - Rel. No. 34-60624 |
| 34-61026 | Nov 18, 2009 | SR-FINRA-2009-076 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the FINRA Rule 9550 Series (Expedited Proceedings) View Received Comments See Also - Rel. No. 34-61242 |
| 34-61012 | Nov 16, 2009 | SR-FINRA-2007-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment Nos. 1, 2, 3, and 4 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4, Relating to Historic TRACE Data See Also - Rel. No. 34-56327 |
| 34-61002 | Nov 13, 2009 | SR-FINRA-2009-050 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) See Also - Rel. No. 34-60462 |
| 34-60999 | Nov 13, 2009 | SR-FINRA-2009-077 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities View Received Comments See Also - Exhibit 5 |
| 34-60960 | Nov 6, 2009 | SR-FINRA-2009-061 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Require Members To Report OTC Transactions in Equity Securities Within 30 Seconds of Execution View Received Comments See Also - Exhibit 5, Rel. No. 34-61819 |
| 34-60963 | Nov 6, 2009 | SR-FINRA-2009-071 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules |
| 34-60933 | Nov 4, 2009 | SR-FINRA-2008-067 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-59273 |
| 34-60878 | Oct 26, 2009 | SR-FINRA-2009-041 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes To Implement Conforming Changes See Also - Rel. No. 34-60159 |
| 34-60860 | Oct 21, 2009 | SR-FINRA-2009-065 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE View Received Comments See Also - Rel. No. 34-61566 |