Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80551 | Apr 28, 2017 | SR-FINRA-2017-006 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection With Web Site Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Rel. No. 34-80193 |
| 34-80371 | Apr 4, 2017 | SR-FINRA-2017-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements View Received Comments See Also - Exhibit 5 |
| 34-80321 | Mar 28, 2017 | SR-FINRA-2017-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123 |
| 34-80255 | Mar 15, 2017 | SR-FINRA-2017-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) See Also - Rel. No. 34-79961 |
| 34-80193 | Mar 9, 2017 | SR-FINRA-2017-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection With Web Site Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program View Received Comments See Also - Exhibit 5 |
| 34-80179 | Mar 8, 2017 | SR-FINRA-2017-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-80105 | Feb 24, 2017 | SR-FINRA-2017-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules See Also - Exhibit 5 |
| 34-80004A | Feb 9, 2017 | SR-FINRA-2016-047 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change To Amend FINRA Rules To Conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From T+3 to T+2; Correction See Also - Rel. No. 34-79648 |
| 34-79964 | Feb 3, 2017 | SR-FINRA-2016-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1 See Also - Rel.No. 34-79215 |
| 34-79961 | Feb 3, 2017 | SR-FINRA-2017-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) View Received Comments See Also - Exhibit 5 |