Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76854 | Jan 7, 2016 | SR-FINRA-2015-48 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Plan To Implement a Tick Size Pilot Program See Also - Rel. No. 34-76484, Rel. No. 34-77164 |
| 34-76850 | Jan 7, 2016 | SR-FINRA-2016-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) See Also - Exhibit 5 |
| 34-76812 | Dec 31, 2015 | SR-FINRA-2015-058 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program |
| 34-76813 | Dec 31, 2015 | SR-FINRA-2015-059 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) See Also - Rel. No. 34-77098 |
| 34-76767 | Dec 24, 2015 | SR-FINRA-2015-056 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish "Pay-To-Play" and Related Rules View Received Comments See Also - Rel. No. 34-78683 |
| 34-76757 | Dec 23, 2015 | SR-FINRA-2015-057 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) View Received Comments |
| 34-76677 | Dec 17, 2015 | SR-FINRA-2015-055 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide FINRA with Authority To Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions View Received Comments See Also - Exhibit 5 |
| 34-76675 | Dec 17, 2015 | SR-FINRA-2015-054 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5, Rel. No. 34-78617, Rel. No. 34-78220, Rel. No. 34-77581, Rel. No. 34-77391 |
| 34-76670 | Dec 16, 2015 | SR-FINRA-2015-034 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. See Also - Rel. No. 34-76444, Rel. No. 34-76082 |
| 34-76650 | Dec 15, 2015 | SR-FINRA-2015-052 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration) See Also - Exhibit 5 |