Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60697 | Sep 21, 2009 | SR-FINRA-2009-052 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60697 |
| 34-60701 | Sep 21, 2009 | SR-FINRA-2009-014 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60135 |
| 34-60669 | Sep 14, 2009 | SR-FINRA-2009-058 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f) View Received Comments See Also - 34-63150 |
| 34-60659 | Sep 11, 2009 | SR-FINRA-2009-044 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2262 (Disclosure of Control Relationship With Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60330 |
| 34-60645 | Sep 10, 2009 | SR-FINRA-2009-039 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60112 |
| 34-60648 | Sep 10, 2009 | SR-FINRA-2009-048 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 5230 (Payments Involving Publications That Influence the Market Price of a Security) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60422 |
| 34-60640 | Sep 9, 2009 | SR-FINRA-2009-056 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for Investment Banking Representative Examination |
| 34-60635 | Sep 8, 2009 | SR-FINRA-2007-024 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending Rule 2320 Regarding Best Execution and Interpositioning See Also - Rel. No. 34-59788 |
| 34-60624 | Sep 3, 2009 | SR-FINRA-2009-057 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 View Received Comments See Also - Rel. No. 34-61042 |
| 34-60613 | Sep 2, 2009 | SR-FINRA-2009-055 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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. 34-60835 |