Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-58302 | Aug 4, 2008 | SR-FINRA-2008-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance With SEC Regulation M) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58514 |
| 34-58283 | Aug 1, 2008 | SR-FINRA-2008-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Eliminate the Requirement To Report Yield to TRACE and for FINRA To Calculate Yield That Will Be Disseminated by TRACE See Also - Rel. No. 34-58520 |
| 34-58291 | Aug 1, 2008 | SR-FINRA-2008-043 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Establish a Membership Waive-In Process and Fee Waiver for Certain NYSE Alternext U.S. LLC Member Organizations See Also - Rel. No. 34-58707 |
| 34-58263 | Jul 30, 2008 | SR-FINRA-2008-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Portfolio Margin |
| 34-58251 | Jul 30, 2008 | SR-FINRA-2008-041 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Making the Portfolio Margin Pilot Permanent |
| 34-58244 | Jul 29, 2008 | SR-FINRA-2008-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook See Also - Rel. No. 34-58643 |
| 34-58245 | Jul 29, 2008 | SR-FINRA-2008-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, To Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58643 |
| 34-58227 | Jul 25, 2008 | SR-FINRA-2008-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58461 |
| 34-58226 | Jul 25, 2008 | SR-FINRA-2008-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 11890 (Clearly Erroneous Transactions) |
| 34-58215 | Jul 23, 2008 | SR-FINRA-2008-035 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Addition of Fees Imposed for the Series 14 and Series 16 Examinations to FINRA's Fee Schedule |