Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-59160 | Dec 23, 2008 | SR-FINRA-2008-062 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-60012 |
| 34-59138 | Dec 22, 2008 | SR-FINRA-2008-064 | Financial Industry Regulatory Authority (FINRA) | Notice of Proposed Rule Change To Amend NASD Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) See Also - Rel. No. 34-59382 |
| 34-59126 | Dec 19, 2008 | SR-FINRA-2008-060 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trade Reporting of Transfers of Securities Subject to an Asset Purchase Agreement |
| 34-59119 | Dec 18, 2008 | SR-FINRA-2008-061 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5240 (Anti Intimidation / Coordination) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-59335 |
| 34-59108 | Dec 16, 2008 | SR-FINRA-2008-063 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adoption of NASD Rules 12805 and 13805 as FINRA Rules in the New Consolidated FINRA Rulebook |
| 34-59097 | Dec 12, 2008 | SR-FINRA-2008-057 | 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 |
| 34-59096 | Dec 12, 2008 | SR-FINRA-2008-044 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change Relating to the Supervision of Market Letters See Also - Rel. No. 34-58648 |
| 34-59091 | Dec 12, 2008 | SR-FINRA-2008-031 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend the Arbitration Uniform Submission Agreement and Related Rules See Also - Rel. No. 34-58648 |
| 34-59075 | Dec 10, 2008 | SR-FINRA-2008-055 | Financial Industry Regulatory Authority (FINRA) | Notice of Proposed Rule Change To Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-59605 |