Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-75471 | Jul 16, 2015 | SR-FINRA-2014-047 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-75012, Rel. No. 34-74488, Rel. No. 34-74339, Rel. No. 34-73622 |
| 34-75472 | Jul 16, 2015 | SR-FINRA-2014-048 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) See Also - Rel. No. 34-75013, Rel. No. 34-74490, Rel. No. 34-74340, Rel. No. 34-73623 |
| 34-75428 | Jul 10, 2015 | SR-FINRA-2015-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Require Members To Report Transactions in TRACE-Eligible Securities as Soon as Practicable View Received Comments See Also - Exhibit 5, Rel. No. 34-75782 |
| 34-75394 | Jul 8, 2015 | SR-FINRA-2015-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories View Received Comments See Also - Exhibit 5, Rel. No. 34-75783 |
| 34-75377 | Jul 7, 2015 | SR-FINRA-2015-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) View Received Comments See Also - Exhibit 5 |
| 34-75365 | Jul 6, 2015 | SR-FINRA-2015-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA's Web Site View Received Comments |
| 34-75364 | Jul 6, 2015 | SR-FINRA-2015-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants |
| 34-75356 | Jul 2, 2015 | SR-FINRA-2015-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative To Publish OTC Equity Volume Executed Outside ATSs View Received Comments See Also - Rel. No. 34-76078, Rel. No. 34-75697 |
| 34-75339 | Jun 30, 2015 | SR-FINRA-2015-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees |
| 34-75333 | Jun 30, 2015 | SR-FINRA-2015-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders View Received Comments See Also - Exhibit 5 |