Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60850 | Oct 21, 2009 | SR-FINRA-2009-067 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-61071 |
| 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 |
| 34-60835 | Oct 16, 2009 | SR-FINRA-2009-055 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) Into the Consolidated Rulebook See Also - Rel. No. 34-60613 |
| 34-60836 | Oct 16, 2009 | SR-FINRA-2009-060 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) View Received Comments See Also - Rel. No. 34-68386 |
| 34-60824 | Oct 14, 2009 | SR-FINRA-2009-066 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing 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. 34-61052 |
| 34-60807 | Oct 9, 2009 | SR-FINRA-2009-064 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site View Received Comments |
| 34-60754 | Oct 2, 2009 | SR-FINRA-2009-059 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt NASD Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130 and 2270 See Also - Rel. No. 34-61059 |
| 34-60774 | Oct 2, 2009 | SR-FINRA-2009-062 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References Within Certain FINRA Rules |
| 34-60726 | Sep 28, 2009 | SR-FINRA-2009-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Expanding TRACE To Include Agency Debt Securities and Primary Market Transactions See Also - Rel. No. 34-59733 |
| 34-60722 | Sep 25, 2009 | SR-FINRA-2009-063 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |