Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-72269 | May 28, 2014 | SR-FINRA-2014-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating To Protecting Personal Confidential Information in Documents Filed With FINRA Dispute Resolution See Also - Rel. No. 34-71608 |
| 34-72208 | May 21, 2014 | SR-FINRA-2014-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook |
| 34-72191 | May 20, 2014 | SR-FINRA-2014-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of "Reporting Member" in the Order Audit Trail System Rules |
| 34-72196 | May 20, 2014 | SR-FINRA-2014-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding View Received Comments See Also - Rel. No. 34-71534 |
| 34-72193 | May 20, 2014 | SR-FINRA-2014-006 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities See Also - Rel. No. 34-72626, Rel. No. 34-71545 |
| 34-72114 | May 7, 2014 | SR-FINRA-2014-004 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) As Amended See Also - Rel. No. 34-71486 |
| 34-72066 | May 1, 2014 | SR-FINRA-2014-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2013-046 |
| 34-72067 | May 1, 2014 | SR-FINRA-2013-036 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Self-Trades and FINRA Rule 5210 (Publication of Transactions and Quotations) May 1, 2014. See Also - Rel. No. 34-71636, Rel. No. 34-70276, Rel. No. 34-70613, Rel. No. 34-70966 |
| 34-72057 | Apr 30, 2014 | SR-FINRA-2014-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) See Also - Exhibit 5, Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions |
| 34-72044 | Apr 30, 2014 | SR-BATS-2014-014 | BATS Exchange (BATS), EDGA Exchange (EDGA), Financial Industry Regulatory Authority (FINRA), Nasdaq ISE, LLC (ISE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq BX, Inc. (BX), New York Stock Exchange LLC (NYSE), NYSE Arca (NYSEARCA), NYSE MKT (NYSEMKT), Nasdaq PHLX LLC (Phlx), Chicago Stock Exchange, Inc. (CHX), National Stock Exchange (NSX), EDGA Exchange (EDGA), BATS Y-Exchange (BYX), EDGX Exchange (EDGX) | Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions" See Also - Exhibit 5 |