Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-59961 | May 21, 2009 | SR-FINRA-2009-018 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Adopt IM-2830-1 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59754 |
| 34-59946 | May 20, 2009 | SR-FINRA-2009-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 (Options) Regarding Position Limits for Options on Exchange-Traded Funds and Registration Qualifications With Respect to Options Discretionary Accounts |
| 34-59947 | May 20, 2009 | SR-FINRA-2009-017 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change to Adopt Incorporated NYSE Rule 406 (Designation of Accounts) as a FINRA Rule in the Consolidated FINRA Rulebook See Also - Release No. 34-59745 |
| 34-59921 | May 14, 2009 | SR-FINRA-2009-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-67588, Rel. No. 34-64969, Rel. No. 34-64969A |
| 34-59916 | May 13, 2009 | SR-FINRA-2009-008 | Financial Industry Regulatory Authority (FINRA) | Order Granting Accelerated Approval to Filing as Amended by Amendment No. 2 Relating to Changes to Forms U4, U5, and FINRA Rule 8312 See Also - Rel. No. 34-59616 |
| 34-59905 | May 12, 2009 | SR-FINRA-2007-012 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto To Amend Trade Reporting Rules To Require a Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA See Also - Rel. No. 34-57020 |
| 34-59906 | May 12, 2009 | SR-FINRA-2009-013 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Amend the Tolling Provisions in Rules 12206 and 13206 of the Codes of Arbitration Procedure for Customer and Industry Disputes See Also - Rel. No. 34-59672 |
| 34-59885 | May 7, 2009 | SR-FINRA-2009-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Expedited Administration of Promissory Note Cases See Also - Rel. No. 34-60132 |