Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-79648 | Dec 21, 2016 | SR-FINRA-2016-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing 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 View Received Comments See Also - Exhibit 5 |
| 34-79620 | Dec 20, 2016 | SR-FINRA-2016-046 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
| 34-79570 | Dec 15, 2016 | SR-FINRA-2016-045 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems See Also - Exhibit 5 |
| 34-79455 | Dec 2, 2016 | SR-FINRA-2016-033 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating To Broadening Chairperson Eligibility in Arbitration See Also - Rel. No. 34-78729 |
| 34-79424 | Nov 29, 2016 | SR-FINRA-2016-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program View Received Comments See Also - Exhibit 5 |
| 34-79401 | Nov 25, 2016 | SR-FINRA-2016-044 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) See Also - Exhibit 5 |
| 34-79361 | Nov 21, 2016 | SR-FINRA-2016-043 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity See Also - Exhibit 5 |
| 34-79346 | Nov 17, 2016 | SR-FINRA-2016-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities View Received Comments See Also - Rel. No. 34-78965, Rel. No. 34-78573, Amendment No. 1 |
| 34-79296 | Nov 14, 2016 | SR-FINRA-2016-029 | Financial Industry Regulatory Authority (FINRA) | Order Approving Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Require All Parties Other Than Pro Se Customers To File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and To Permit Mediation Parties To Use the Portal See Also - Rel. No. 34-78549 |
| 34-79285 | Nov 10, 2016 | SR-FINRA-2016-030 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions To Dismiss in Arbitration See Also - Rel. No. 34-78553 |