Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-74890 | May 6, 2015 | SR-FINRA-2015-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2272 To Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or Their Dependents View Received Comments See Also - Exhibit 5 |
| 34-74807 | Apr 24, 2015 | SR-FINRA-2015-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 View Received Comments |
| 34-74734 | Apr 15, 2015 | SR-FINRA-2015-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue |
| 34-74568 | Mar 24, 2015 | SR-FINRA-2015-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Increase Qualification Examination Fees |
| 34-74512 | Mar 16, 2015 | SR-FINRA-2015-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program To Address Underreported Form U4 Information) View Received Comments |
| 34-74490 | Mar 12, 2015 | SR-FINRA-2014-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) See Also - Rel. No. 34-75013, Rel. No. 34-74340, Rel. No. 34-73623, Rel. No. 34-75472 |
| 34-74488 | Mar 12, 2015 | SR-FINRA-2014-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-75012, Rel. No. 34-74339, Rel. No. 34-73622, Rel. No. 34-75471 |
| 34-74486 | Mar 12, 2015 | SR-FINRA-2014-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Withdrawal of Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service See Also - Rel. No. 34-74021, Rel. No. 34-73313, Rel. No. 34-72575 |
| 34-74482 | Mar 11, 2015 | SR-FINRA-2014-050 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Require a Member To Identify Transactions With a Non-Member Affiliate and To Change How FINRA Disseminates a Subset of Such Transactions |
| 34-74383 | Feb 26, 2015 | SR-FINRA-2014-028 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator See Also - Rel. No. 34-73277, Rel. No. 34-72491 |