Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-57986 | Jun 18, 2008 | SR-FINRA-2008-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities With All Other OTC Equity Securities View Received Comments See Also - Rel. No. 34-58331 |
| 34-57935 | Jun 6, 2008 | SR-FINRA-2008-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA's Minor Rule Violation Plan |
| 34-57920 | Jun 4, 2008 | SR-FINRA-2008-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities View Received Comments See Also - Rel. No. 34-59772 |
| 34-57866 | May 23, 2008 | SR-FINRA-2007-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto To Adopt a FINRA Policy To Expand Disseminated Trade Reporting and Compliance Engine ("TRACE") Data View Received Comments See Also - Rel. No. 34-58115 |
| 34-57820 | May 15, 2008 | SR-FINRA-2008-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws |
| 34-57784 | May 6, 2008 | SR-FINRA-2007-039 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto To Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders) See Also - Rel. No. 34-57388 |
| 34-57775 | May 5, 2008 | SR-FINRA-2007-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to Options Supervision Requirements View Received Comments |
| 34-57769 | May 2, 2008 | SR-FINRA-2008-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 |
| 34-57765 | May 1, 2008 | SR-FINRA-2007-041 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend NASD Rule 7001B To Increase the Percentage of Market Data Revenue Shared With NASD/Nasdaq TRF Participants See Also - Rel. No. 34-57164 |
| 34-57720 | Apr 25, 2008 | SR-FINRA-2008-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating To Amending NASD Rule 2220 (Options Communications With the Public) View Received Comments See Also - Rel. No. 34-58738 |