Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-75246 | Jun 18, 2015 | SR-FINRA-2015-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program |
| 34-75154 | Jun 11, 2015 | SR-FINRA-2015-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements View Received Comments See Also - Exhibit 5, Rel. No. 34-75581 |
| 34-75160 | Jun 11, 2015 | SR-FINRA-2015-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements |
| 34-75069 | May 29, 2015 | SR-FINRA-2015-013 | 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) |
| 34-75058 | May 28, 2015 | SR-FINRA-2015-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System See Also - Exhibit 5 |
| 34-75036 | May 22, 2015 | SR-FINRA-2015-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing See Also - Rel. No. 34-74289 |
| 34-75013 | May 20, 2015 | SR-FINRA-2014-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) See Also - Rel. No. 34-74490, Rel. No. 34-74340, Rel. No. 34-73623, Rel. No. 34-75472 |
| 34-75012 | May 20, 2015 | SR-FINRA-2014-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-74488, Rel. No. 34-74339, Rel. No. 34-73622, Rel. No. 34-75471 |
| 34-74953 | May 13, 2015 | SR-FINRA-2015-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H) See Also - Exhibit 5 |
| 34-74927 | May 12, 2015 | SR-FINRA-2015-010 | 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 |