Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-73762 | Dec 5, 2014 | SR-FINRA-2014-050 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend TRACE Rules To Require Members To Identify Transactions With Non-Member Affiliates and To Change How FINRA Disseminates a Subset of Such Transactions View Received Comments See Also - Exhibit 5 |
| 34-73714 | Dec 2, 2014 | SR-FINRA-2014-049 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook |
| 34-73632 | Nov 18, 2014 | SR-FINRA-2014-046 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Gross Income Assessment Pricing Structure View Received Comments See Also - Exhibit 5 |
| 34-73623 | Nov 18, 2014 | SR-FINRA-2014-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) View Received Comments See Also - Exhibit 2A, Exhibit 2B, Exhibit 2C, Exhibit 3A, Exhibit 3B, Exhibit 5, Rel. No. 34-75013, Rel. No. 34-74490, Rel. No. 34-74340, Rel. No. 34-75472 |
| 34-73622 | Nov 18, 2014 | SR-FINRA-2014-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook View Received Comments See Also - Exhibit 2A, Exhibit 2B, Exhibit 2C, Exhibit 3, Exhibit 5, Rel. No. 34-75012, Rel. No. 34-74488, Rel. No. 34-74339, Rel. No. 34-75471 |
| 34-73576 | Nov 12, 2014 | SR-FINRA-2014-045 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules See Also - Exhibit 5 |
| 34-73392 | Oct 21, 2014 | SR-FINRA-2014-044 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025 |
| 34-73339 | Oct 10, 2014 | SR-FINRA-2014-006 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities |
| 34-73340 | Oct 10, 2014 | SR-FINRA-2014-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems |
| 34-73332 | Oct 9, 2014 | SR-FINRA-2014-043 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 See Also - Exhibit 5 |