Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-74349 | Feb 23, 2015 | SR-FINRA-2015-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) in the Consolidated FINRA Rulebook See Also - Exhibit 5 |
| 34-74339 | Feb 20, 2015 | SR-FINRA-2014-047 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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. 34-74488, Rel. No. 34-73622, Rel. No. 34-75471 |
| 34-74340 | Feb 20, 2015 | SR-FINRA-2014-048 | Financial Industry Regulatory Authority (FINRA) | Order Instituting 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. 34-75013, Rel. No. 34-74490, Rel. No. 34-73623, Rel. No. 34-75472 |
| 34-74289 | Feb 18, 2015 | SR-FINRA-2015-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Increase the Late Cancellation Fee View Received Comments See Also - Order Rel. No. 34-75036 |
| 34-74251 | Feb 11, 2015 | SR-FINRA-2015-002 | 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 |
| 34-74049 | Jan 14, 2015 | SR-FINRA-2015-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) See Also - Exhibit 5 |
| 34-74021 | Jan 9, 2015 | SR-FINRA-2014-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove 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 - Notice Rel. No. 34-74486, Rel. No. 34-73313, Rel. No. 34-72575 |
| 34-73966 | Dec 30, 2014 | SR-FINRA-2014-038 | Financial Industry Regulatory Authority (FINRA) | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 3110(e) (Responsibility of Member To Investigate Applicants for Registration) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-73238 |
| 34-73954 | Dec 30, 2014 | SR-FINRA-2014-037 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change to FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar) See Also - Rel. No. 34-73210 |
| 34-73863 | Dec 17, 2014 | SR-FINRA-2014-051 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to In Concert Reporting of Options Positions |