Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-78823 | Sep 13, 2016 | SR-FINRA-2016-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications With the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1 See Also - Exhibit 5, Rel. No. 34-78026 |
| 34-78800 | Sep 9, 2016 | SR-FINRA-2016-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program See Also - Exhibit 5, Exemptive Letter |
| 34-78759 | Sep 2, 2016 | SR-FINRA-2016-024 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Create an Academic Corporate Bond TRACE Data Product See Also - Rel. No. 34-78219 |
| 34-78729 | Aug 30, 2016 | SR-FINRA-2016-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Amending 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 View Received Comments See Also - Rel. No. 34-79455 |
| 34-78683 | Aug 25, 2016 | SR-FINRA-2015-056 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish "Pay-To-Play" and Related Rules See Also - Rel. No. 34-77465, Rel. No. 34-76767 |
| 34-78660 | Aug 24, 2016 | SR-FINRA-2016-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of SR-FINRA-2016-028 |
| 34-78617 | Aug 18, 2016 | SR-FINRA-2015-054 | Financial Industry Regulatory Authority (FINRA) | Order Approving Rule Change as Modified by Amendment Nos. 1 and 2 To Adopt FINRA Capital Acquisition Broker Rules See Also - Rel. No. 34-78617, Rel. No. 34-78220, Rel. No. 34-77581, Rel. No. 34-77391, Rel. No. 34-76675 |
| 34-78609 | Aug 18, 2016 | SR-FINRA-2016-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only |
| 34-78573 | Aug 15, 2016 | SR-FINRA-2016-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a 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 - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 2d, Exhibit 2e, Exhibit 2f, Exhibit 5, Rel. No. 34-79346, Rel. No. 34-78965 |
| 34-78557 | Aug 11, 2016 | SR-FINRA-2016-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes To Permit Award Offsets in Arbitration, as Modified by Amendment No. 1 See Also - Rel. No. 34-77844 |