Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-59519 | Mar 5, 2009 | SR-FINRA-2009-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the Definition of TRACE-Eligible Security To Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities View Received Comments See Also - Rel. No. 34-59768 |
| 34-59495 | Mar 3, 2009 | SR-FINRA-2008-052 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59253, and Corrected Order |
| 34-59490 | Mar 3, 2009 | SR-FINRA-2009-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rules 12 ("Business Day") and 282 (Buy-in Procedures) and To Delete Incorporated NYSE Rule 177 (Delivery Time-"Cash" Contracts) Relating to the Elimination of NYSE Members' Ability To Enter Orders on the NYSE With Settlement Instructions of "Cash," "Next Day" and "Seller's Option" |
| 34-59484 | Mar 2, 2009 | SR-FINRA-2009-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals View Received Comments See Also - Rel. No. 34-59757 |
| 34-59432 | Feb 23, 2009 | SR-FINRA-2009-005 | 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 |
| 34-59382 | Feb 11, 2009 | SR-FINRA-2008-064 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) See Also - Rel. No. 34-59138 |
| 34-59358 | Feb 4, 2009 | SR-FINRA-2008-051 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Require Arbitrators To Provide an Explained Decision Upon the Joint Request of the Parties See Also - Rel. No. 34-58862 |
| 34-59340 | Feb 2, 2009 | SR-FINRA-2008-047 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend the Codes of Arbitration Procedure To Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000 See Also - Rel. No. 34-58651 |
| 34-59335 | Feb 2, 2009 | SR-FINRA-2008-061 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 5240 (Anti-Intimidation/Coordination) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59119 |
| 34-59273 | Jan 22, 2009 | SR-FINRA-2008-067 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-60933 |