Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-84374 | Oct 5, 2018 | SR-FINRA-2018-032 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change to FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities |
| 34-84376 | Oct 5, 2018 | SR-FINRA-2018-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Change Relating to Provision of Test Result Information to Candidates Who Pass a FINRA Qualification Examination |
| 34-84366 | Oct 4, 2018 | SR-FINRA-2018-030 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend FINRA Rule 7730 To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting |
| 34-84363 | Oct 4, 2018 | SR-FINRA-2018-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions |
| 34-84127 | Sep 14, 2018 | SR-FINRA-2018-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds |
| 34-84020 | Sep 4, 2018 | SR-FINRA-2018-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees See Also - Exhibit 5 |
| 34-83882 | Aug 17, 2018 | SR-FINRA-2018-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities See Also - Exhibit 5 |
| 34-83868 | Aug 17, 2018 | SR-FINRA-2018-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting See Also - Exhibit 5 |
| 34-83866 | Aug 16, 2018 | SR-FINRA-2018-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities See Also - Exhibit 3a, Exhibit 3b, Exhibit 5 |
| 34-83863 | Aug 16, 2018 | SR-FINRA-2018-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal See Also - Exhibit 5 |