Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60560 | Aug 21, 2009 | SR-FINRA-2009-045 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility See Also - Rel. No. 34-60239 |
| 34-60534 | Aug 19, 2009 | SR-FINRA-2009-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payment for Market Making) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60066 |
| 34-60515 | Aug 17, 2009 | SR-FINRA-2009-054 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities View Received Comments See Also - and Rel. No. 34-61677, Rel. No. 34-62359 |
| 34-60475 | Aug 11, 2009 | SR-FINRA-2009-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-61706 |
| 34-60462 | Aug 7, 2009 | SR-FINRA-2009-050 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) View Received Comments See Also - Rel. No. 34-61002 |
| 34-60437 | Aug 5, 2009 | SR-FINRA-2009-052 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-60697 |
| 34-60432 | Aug 4, 2009 | SR-FINRA-2009-053 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 and 282 To Conform to Amendments Made by NYSE |
| 34-60424 | Aug 4, 2009 | SR-FINRA-2009-049 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Limited Representative-Investment Banking ("Series 79") Examination Program |
| 34-60422 | Aug 3, 2009 | SR-FINRA-2009-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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. 34-60648 |
| 34-60414 | Jul 31, 2009 | SR-FINRA-2009-051 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities |