Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76121 | Oct 9, 2015 | SR-FINRA-2015-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| 34-76105 | Oct 8, 2015 | SR-FINRA-2015-022 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) See Also - Rel. No. 34-75377 |
| 34-76082 | Oct 6, 2015 | SR-FINRA-2015-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. View Received Comments See Also - Exhibit 5, Rel. No. 34-76670, Rel. No. 34-76444 |
| 34-76078 | Oct 5, 2015 | SR-FINRA-2015-020 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, To Expand FINRA's Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs See Also - Rel. No. 34-75697, Rel. No. 34-75356 |
| 34-76061 | Sep 30, 2015 | SR-FINRA-2015-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities See Also - Exhibit 5 |
| 34-76059 | Sep 30, 2015 | SR-FINRA-2015-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities See Also - Exhibit 2 |
| 34-75988 | Sep 25, 2015 | SR-FINRA-2015-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 View Received Comments See Also - Exhibit 5, Rel. No. 34-76359 |
| 34-75875 | Sep 10, 2015 | SR-FINRA-2015-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up/Mark-Down See Also - Rel. No. 34-76176, Rel. No. 34-75588 |
| 34-75865 | Sep 9, 2015 | SR-FINRA-2015-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administration and Delivery Fee for the Municipal Advisor Representative Examination ("Series 50 Examination") |
| 34-75783 | Aug 28, 2015 | SR-FINRA-2015-017 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories See Also - Rel. No. 34-75394 |