Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-73192 | Sep 23, 2014 | SR-FINRA-2014-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Supplementary Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| 34-72854 | Aug 15, 2014 | SR-FINRA-2014-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings See Also - Rel. No. 34-73230 |
| 34-72766 | Aug 5, 2014 | SR-FINRA-2014-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 24 Examination Program See Also - Exhibit 3A |
| 34-72765 | Aug 5, 2014 | SR-FINRA-2014-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 23 Examination Program See Also - Exhibit 3A |
| 34-72649 | Jul 22, 2014 | SR-FINRA-2014-020 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information See Also - Rel. No. 34-71959, Rel. No. 34-72332, Rel. No. 34-72332A |
| 34-72638 | Jul 17, 2014 | SR-FINRA-2014-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070 |
| 34-72626 | Jul 16, 2014 | SR-FINRA-2014-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities See Also - Rel. No. 34-72193, Rel. No. 34-71545 |
| 34-72595 | Jul 11, 2014 | SR-FINRA-2014-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports See Also - Exhibit 5 |
| 34-72575 | Jul 9, 2014 | SR-FINRA-2014-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 - Exhibit 5, Notice Rel. No. 34-74486, Rel. No. 34-74021, Rel. No. 34-73313 |
| 34-72543 | Jul 3, 2014 | SR-FINRA-2014-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers |