Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-72033 | Apr 28, 2014 | SR-FINRA-2014-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules See Also - Rel. No. 34-71642, Rel. No. 34-71372 |
| 34-71998 | Apr 23, 2014 | SR-FINRA-2014-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 26 Examination Program See Also - Exhibit 3 |
| 34-71981 | Apr 21, 2014 | SR-FINRA-2014-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement |
| 34-71959 | Apr 17, 2014 | SR-FINRA-2014-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) View Received Comments See Also - Exhibit 5, Rel. No. 34-72649, Rel. No. 34-72332, Rel. No. 34-72332A |
| 34-71927 | Apr 10, 2014 | SR-FINRA-2013-039 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Clarify How Certain Securities Are Classified and Reported to FINRA See Also - Rel. No. 34-71819, Rel. No. 34-71629, Rel. No. 34-71180, Rel. No. 34-70482 |
| 34-71911 | Apr 9, 2014 | SR-FINRA-2014-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems |
| 34-71919 | Apr 9, 2014 | SR-FINRA-2014-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information View Received Comments See Also - Rel. No. 34-72280 |
| 34-71868 | Apr 4, 2014 | SR-FINRA-2014-016 | 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 |
| 34-71819 | Mar 27, 2014 | SR-FINRA-2013-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA See Also - Rel. No. 34-71927, Rel. No. 34-71629, Rel. No. 34-71180, Rel. No. 34-70482 |