Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76360 | Nov 5, 2015 | SR-FINRA-2015-046 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing Under Regulation SCI See Also - Exhibit 5 |
| 34-76359 | Nov 5, 2015 | SR-FINRA-2015-032 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5 See Also - Rel. No. 34-75988 |
| 34-76238 | Oct 22, 2015 | SR-FINRA-2015-041 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule To Establish Fees for Funding Portals |
| 34-76239 | Oct 22, 2015 | SR-FINRA-2015-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 3d, Exhibit 5, Rel. No. 34-76970 |
| 34-76213 | Oct 21, 2015 | SR-FINRA-2015-043 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA |
| 34-76188 | Oct 19, 2015 | SR-FINRA-2015-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57) |
| 34-76190 | Oct 19, 2015 | SR-FINRA-2015-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 28 Examination Program |
| 34-76189 | Oct 19, 2015 | SR-FINRA-2015-038 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 27 Examination Program |
| 34-76176 | Oct 16, 2015 | SR-FINRA-2015-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down See Also - Rel. No. 34-75875, Rel. No. 34-75588 |
| 34-76148 | Oct 14, 2015 | SR-FINRA-2015-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market View Received Comments See Also - Exhibit 5, Rel. No. 34-78081, Rel. No. 34-76908, Rel. No. 34-77579 |