Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-78553 | Aug 11, 2016 | SR-FINRA-2016-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Amending 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 View Received Comments See Also - Rel. No. 34-34-79285 |
| 34-78435 | Jul 28, 2016 | SR-FINRA-2016-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility View Received Comments See Also - Exhibit 5 |
| 34-78359 | Jul 19, 2016 | SR-FINRA-2016-027 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine View Received Comments See Also - Exhibit 5, Rel. No. 34-79116 |
| 34-78327 | Jul 14, 2016 | SR-FINRA-2016-026 | 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 |
| 34-78279 | Jul 11, 2016 | SR-FINRA-2016-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a 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 View Received Comments See Also - Rel. No. 34-78836 |
| 34-78281 | Jul 11, 2016 | SR-FINRA-2016-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education See Also - Exhibit 5 |
| 34-78237 | Jul 7, 2016 | SR-FINRA-2016-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Application of FINRA Rule 2210 ("Communications With the Public") to Debt Research Reports See Also - Exhibit 5 |
| 34-78220 | Jul 1, 2016 | SR-FINRA-2015-054 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules See Also - Exhibit 4, Exhibit 5, Rel. No. 34-78617, Rel. No. 34-77581, Rel. No. 34-77391, Rel. No. 34-76675 |
| 34-78219 | Jul 1, 2016 | SR-FINRA-2016-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |