Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83856 | Aug 15, 2018 | SR-FINRA-2010-056 | Financial Industry Regulatory Authority (FINRA) | Order Granting Petition for Review and Scheduling Filing of Statements |
| 34-83825 | Aug 10, 2018 | SR-FINRA-2018-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement See Also - Exhibit 3a, Exhibit 3b |
| 34-83815 | Aug 9, 2018 | SR-FINRA-2018-023 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to ATS Reporting to TRACE of Transactions in U.S. Treasury Securities |
| 34-83781 | Aug 6, 2018 | SR-FINRA-2018-027 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9000 Series (Code of Procedure) To Reflect an Internal Reorganization of FINRA's Enforcement Operations See Also - Exhibit 5 |
| 34-83752 | Jul 31, 2018 | SR-FINRA-2018-019 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference |
| 34-83753 | Jul 31, 2018 | SR-FINRA-2018-015 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent |
| 34-83722 | Jul 26, 2018 | SR-FINRA-2018-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities |
| 34-83699 | Jul 24, 2018 | SR-FINRA-2018-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance View Received Comments |
| 34-83559 | Jun 29, 2018 | SR-FINRA-2018-013 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Second Trade Reporting Facility |
| 34-83474 | Jun 20, 2018 | SR-FINRA-2018-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) See Also - Exhibit 5 |