Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-71372 | Jan 23, 2014 | SR-FINRA-2014-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules View Received Comments See Also - Exhibit 5, Rel. No. 34-72033, Rel. No. 34-71642 |
| 34-71341 | Jan 17, 2014 | SR-FINRA-2013-042 | 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 Require Alternative Trading Systems To Report Volume Information to FINRA and Use Unique Market Participant Identifiers See Also - Rel. No. 34-70676 |
| 34-71350 | Jan 17, 2014 | SR-FINRA-2014-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq) See Also - Exhibit 5 |
| 34-71282 | Jan 10, 2014 | SR-FINRA-2013-046 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities View Received Comments See Also - Rel. No. 34-71607, Rel. No. 34-70906 |
| 34-71287 | Jan 10, 2014 | SR-FINRA-2014-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| 34-71272 | Jan 9, 2014 | SR-FINRA-2013-056 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials), Which Includes Fees for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establish a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform See Also - Exhibit 5 |
| 34-71262 | Jan 9, 2014 | SR-FINRA-2013-050 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting See Also - Rel. No. 34-71623, Rel. No. 34-70924 |
| 34-71224 | Jan 2, 2014 | SR-FINRA-2013-054 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan See Also - Exhibit 5, Rel. No. 34-71575 |
| 34-71231 | Jan 2, 2014 | SR-FINRA-2013-055 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 2360 (Options) Position Limits See Also - Exhibit 5 |
| 34-71196 | Dec 27, 2013 | SR-FINRA-2013-048 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck See Also - Rel. No. 34-70876 |