Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-73319 | Oct 8, 2014 | SR-FINRA-2014-005 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Broaden Arbitrators' Authority To Make Referrals During an Arbitration Proceeding |
| 34-73316 | Oct 7, 2014 | SR-FINRA-2014-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 |
| 34-73313 | Oct 7, 2014 | SR-FINRA-2014-030 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service View Received Comments See Also - Notice Rel. No. 34-74486, Rel. No. 34-74021, Rel. No. 34-72575 |
| 34-73299 | Oct 3, 2014 | SR-FINRA-2014-041 | 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 |
| 34-73289 | Oct 2, 2014 | SR-FINRA-2014-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 |
| 34-73277 | Oct 1, 2014 | SR-FINRA-2014-028 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator View Received Comments See Also - Rel. No. 34-74383, Rel. No. 34-72491 |
| 34-73245 | Sep 29, 2014 | SR-FINRA-2014-026 | 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 Arbitrator Honoraria and Increase Certain Arbitration Fees and Surcharges See Also - Rel. No. 34-72479 |
| 34-73230 | Sep 26, 2014 | SR-FINRA-2014-036 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings See Also - Rel. No. 34-72854 |
| 34-73238 | Sep 26, 2014 | SR-FINRA-2014-038 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3110(e) (Responsibility of Member To Investigate Applicants for Registration) in the Consolidated FINRA Rulebook View Received Comments See Also - 34-73210 |
| 34-73210 | Sep 25, 2014 | SR-FINRA-2014-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt 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) View Received Comments See Also - Rel. No. 34-73954 |