Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-79215 | Nov 1, 2016 | SR-FINRA-2016-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) View Received Comments See Also - 34-79964 |
| 34-79190 | Oct 28, 2016 | SR-FINRA-2016-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7730 To Establish a Fee for the Academic Corporate Bond TRACE Data Product See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |
| 34-79116 | Oct 18, 2016 | SR-FINRA-2016-027 | 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 the Reporting of Transactions in U.S. Treasury Securities to TRACE See Also - Rel. No. 34-78359 |
| 34-79050 | Oct 5, 2016 | SR-FINRA-2016-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-79026 | Oct 3, 2016 | SR-FINRA-2016-038 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders See Also - Exhibit 5 |
| 34-78965 | Sep 28, 2016 | SR-FINRA-2016-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities View Received Comments See Also - Rel. No. 34-79346, Rel. No. 34-78573 |
| 34-78925 | Sep 23, 2016 | SR-FINRA-2016-023 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change Relating to TRACE Reporting and Dissemination of CMO Transactions See Also - Rel. No. 34-78196 |
| 34-78851 | Sep 15, 2016 | SR-FINRA-2016-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications With the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook See Also - Exhibit 5 |
| 34-78836 | Sep 14, 2016 | SR-FINRA-2016-022 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend Rule 12403 (Cases With Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration See Also - Rel. No. 34-78279 |