Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-60061 | Jun 5, 2009 | SR-FINRA-2009-011 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Amend the Panel Composition Rules of the Code of Arbitration Procedure for Industry Disputes See Also - Rel. No. 34-59836 |
| 34-60035 | Jun 3, 2009 | SR-FINRA-2009-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend FINRA's Authority Under the Cease and Desist Pilot Program |
| 34-60034 | Jun 3, 2009 | SR-FINRA-2009-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) To Clarify the Scope of the Minimum Price Improvement Obligations |
| 34-60028 | Jun 2, 2009 | SR-FINRA-2009-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt a Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis See Also - Rel. No. 34-60306 |
| 34-60022 | Jun 1, 2009 | SR-FINRA-2009-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours See Also - Rel. No. 34-60377 |
| 34-60012 | May 29, 2009 | SR-FINRA-2008-062 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-59160 |
| 34-60008 | May 29, 2009 | SR-FINRA-2009-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Cross-References in FINRA Rules |
| 34-59987 | May 27, 2009 | SR-FINRA-2009-016 | Financial Industry Regulatory Authority (FINRA) | Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59771 |
| 34-59955 | May 22, 2009 | SR-FINRA-2009-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Implement an Interim Pilot Program With Respect to Margin Requirements for Certain Transactions in Credit Default Swaps View Received Comments |
| 34-59962 | May 21, 2009 | SR-FINRA-2009-020 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws See Also - Rel. No. 34-59696 |