Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-71608 | Feb 24, 2014 | SR-FINRA-2014-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed With FINRA Dispute Resolution View Received Comments See Also - Rel. No. 34-72269 |
| 34-71575 | Feb 19, 2014 | SR-FINRA-2013-054 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan See Also - Rel. No. 34-71224 |
| 34-71545 | Feb 12, 2014 | SR-FINRA-2014-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to per Share Estimated Valuations for Unlisted DPP and REIT Securities View Received Comments See Also - Rel. No. 34-72626, Rel. No. 34-72193 |
| 34-71534 | Feb 12, 2014 | SR-FINRA-2014-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority To Make Referrals During an Arbitration Proceeding View Received Comments See Also - Rel. No. 34-72196 |
| 34-71528 | Feb 12, 2014 | SR-FINRA-2014-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility See Also - Exhibit 5 |
| 34-71486 | Feb 5, 2014 | SR-FINRA-2014-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) View Received Comments See Also - Exhibit 5, Rel. No. 34-72114 |
| 34-71467 | Feb 3, 2014 | SR-FINRA-2013-053 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility See Also - Rel. No. 34-71147 |
| 34-71457 | Jan 31, 2014 | SR-FINRA-2013-052 | Financial Industry Regulatory Authority (FINRA) | Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant See Also - Rel. No. 34-71042 |
| 34-71407 | Jan 27, 2014 | SR-FINRA-2013-031 | Financial Industry Regulatory Authority (FINRA) | Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility See Also - Rel. No. 34-70776, Rel. No. 34-70358, Rel. No. 34-70048 |
| 34-71373 | Jan 23, 2014 | SR-FINRA-2013-051 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR) See Also - Rel. No. 34-71626, Rel. No. 34-71027 |