Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-59262 | Jan 16, 2009 | SR-FINRA-2008-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to Private Placements of Securities Issued by Members View Received Comments See Also - Rel. No. 34-59599 |
| 34-59254 | Jan 15, 2009 | SR-FINRA-2008-054 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58905 |
| 34-59253 | Jan 15, 2009 | SR-FINRA-2008-052 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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. 34-59495, and Corrected Order |
| 34-59216 | Jan 8, 2009 | SR-FINRA-2008-065 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program |
| 34-61319 | Jan 8, 2009 | SR-FINRA-2009-093 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook See Also - Exhibit 5, Rel. No. 34-61542 |
| 34-59222 | Jan 8, 2009 | SR-FINRA-2009-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes to FINRA Rules 6380B and 6730 To Reflect Amendments Proposed Pursuant to SR-FINRA-2008-060 |
| 34-59208 | Jan 6, 2009 | SR-FINRA-2008-045 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications See Also - Rel. No. 34-59586 |
| 34-59189 | Dec 31, 2008 | SR-FINRA-2007-021 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals See Also - Rel. No. 34-57497 |
| 34-59175 | Dec 30, 2008 | SR-FINRA-2008-066 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008 |