Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60168 | Jun 24, 2009 | SR-FINRA-2009-043 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility |
| 34-60159 | Jun 22, 2009 | SR-FINRA-2009-041 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change 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 View Received Comments See Also - Rel. No. 34-60878 |
| 34-60135 | Jun 18, 2009 | SR-FINRA-2009-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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. 34-60701 |
| 34-60132 | Jun 17, 2009 | SR-FINRA-2009-015 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases See Also - Rel. No. 34-59885 |
| 34-60112 | Jun 15, 2009 | SR-FINRA-2009-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-60645 |
| 34-60113 | Jun 15, 2009 | SR-FINRA-2007-009 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modernize and Simplify NASD Rule 2720 See Also - Rel. No. 34-59880 |
| 34-60086 | Jun 10, 2009 | SR-FINRA-2009-023 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 2320 in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59762 |
| 34-60085 | Jun 10, 2009 | SR-FINRA-2009-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend Rule 6440 To Require Members To Create a Contemporaneous Record of Certain Customer and Order Information See Also - Rel. No. 34-60366 |
| 34-60070 | Jun 8, 2009 | SR-FINRA-2009-038 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing 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. 34-60367 |
| 34-60066 | Jun 8, 2009 | SR-FINRA-2009-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 2124 (Net Transactions With Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-60534 |