Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83129 | Apr 30, 2018 | SR-FINRA-2018-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent View Received Comments See Also - Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5 |
| 34-83098 | Apr 24, 2018 | SR-FINRA-2018-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Exception That Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities See Also - Exhibit 5 |
| 34-83082 | Apr 20, 2018 | SR-FINRA-2018-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Establish a Second Trade Reporting Facility in Conjunction With Nasdaq, Inc. View Received Comments See Also - Exhibit 5 |
| 34-82829 | Mar 8, 2018 | SR-FINRA-2018-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Eliminate the Fee for an Explained Decision View Received Comments |
| 34-82772 | Feb 26, 2018 | SR-FINRA-2018-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Securities Trader (Series 57) Examination See Also - Exhibit 3a, Exhibit 3c |
| 34-82774 | Feb 26, 2018 | SR-FINRA-2018-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Private Securities Offerings Representative (Series 82) Examination See Also - Exhibit 3a, Exhibit 3c |
| 34-82751 | Feb 21, 2018 | SR-FINRA-2018-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86 and 87) Examinations |
| 34-82750 | Feb 21, 2018 | SR-FINRA-2018-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Banking Representative (Series 79) Examination |
| 34-82754 | Feb 21, 2018 | SR-FINRA-2018-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination |
| 34-82748 | Feb 21, 2018 | SR-FINRA-2018-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Direct Participation Programs Representative (Series 22) Examination See Also - Exhibit 3a, Exhibit 3c |