Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-72522 | Jul 2, 2014 | SR-FINRA-2014-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| 34-72491 | Jun 27, 2014 | SR-FINRA-2014-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a 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. 34-73277 |
| 34-72479 | Jun 26, 2014 | SR-FINRA-2014-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a 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 View Received Comments See Also - Rel. No. 34-73245 |
| 34-72480 | Jun 26, 2014 | SR-FINRA-2014-012 | Financial Industry Regulatory Authority (FINRA) | Order Approving Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) See Also - Rel. No. 34-71792 |
| 34-72484 | Jun 26, 2014 | SR-FINRA-2014-027 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures |
| 34-72459 | Jun 24, 2014 | SR-FINRA-2014-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) See Also - Rel. No. 34-71786 |
| 34-72444 | Jun 20, 2014 | SR-FINRA-2014-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) View Received Comments |
| 34-72332 | Jun 5, 2014 | SR-FINRA-2014-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information See Also - Rel. No. 34-72649, Rel. No. 34-71959, Rel. No. 34-72332A |
| 34-72332A | Jun 5, 2014 | SR-FINRA-2014-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information; Correction See Also - Rel. No. 34-72649, Rel. No. 34-71959, Rel. No. 34-72332 |
| 34-72280 | May 29, 2014 | SR-FINRA-2014-018 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information See Also - Rel. No. 34-71919 |