Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60377 | Jul 23, 2009 | SR-FINRA-2009-031 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change as Amended, Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours See Also - Rel. No. 34-60022 |
| 34-60362 | Jul 22, 2009 | SR-FINRA-2009-046 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| 34-60367 | Jul 22, 2009 | SR-FINRA-2009-038 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change to Repeal Incorporated NYSE Rule 134 (Differences and Omissions-Cleared Transactions) and NYSE Rule 440I (Records of Compensation Arrangements-Floor Brokerage) as Part of the Process To Develop the Consolidated FINRA Rulebook See Also - Rel. No. 34-60070 |
| 34-60366 | Jul 22, 2009 | SR-FINRA-2009-030 | Financial Industry Regulatory Authority (FINRA) | Order Information See Also - Rel. No. 34-60085 |
| 34-60348 | Jul 20, 2009 | SR-FINRA-2009-019 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59784 |
| 34-60330 | Jul 17, 2009 | SR-FINRA-2009-044 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change 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. 34-60659 |
| 34-60306 | Jul 14, 2009 | SR-FINRA-2009-035 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Adopt Its Temporary and Permanent Cease and Desist Authority on a Permanent Basis See Also - Rel. No. 34-60028 |
| 34-60239 | Jul 2, 2009 | SR-FINRA-2009-045 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility See Also - Rel. No. 34-60560 |
| 34-60199 | Jun 30, 2009 | SR-FINRA-2009-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons View Received Comments See Also - Rel. No. 34-62762 |
| 34-60172 | Jun 25, 2009 | SR-FINRA-2009-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change 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. 34-61090 |