Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-78196 | Jun 29, 2016 | SR-FINRA-2016-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Increase Transparency for CMO Transactions View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5, Rel. No. 34-78925 |
| 34-78182 | Jun 28, 2016 | SR-FINRA-2016-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) See Also - Exhibit 5 |
| 34-78130 | Jun 22, 2016 | SR-FINRA-2016-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook |
| 34-78094 | Jun 17, 2016 | SR-FINRA-2016-014 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council See Also - Rel. No. 34-77786 |
| 34-78081 | Jun 15, 2016 | SR-FINRA-2015-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 View Received Comments See Also - Exhibit 4, Exhibit 5, Rel. No. 34-77579, Rel. No. 34-76908, Rel. No. 34-76148 |
| 34-78026 | Jun 9, 2016 | SR-FINRA-2016-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend 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) View Received Comments See Also - Exhibit 5, Rel. No. 34-78823 |
| 34-77963 | Jun 1, 2016 | SR-FINRA-2016-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| 34-77923 | May 26, 2016 | SR-FINRA-2016-016 | 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 |
| 34-77844 | May 17, 2016 | SR-FINRA-2016-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing 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 View Received Comments See Also - Rel. No. 34-78557 |
| 34-77798 | May 10, 2016 | SR-FINRA-2016-010 | Financial Industry Regulatory Authority (FINRA) | Order and Execution Information for NMS Stocks See Also - Rel. No. 34-77635, Rel. No. 34-77269 |