Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-58206 | Jul 22, 2008 | SR-FINRA-2008-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to the Membership Waive-In Process for Certain New York Stock Exchange Members See Also - Rel. No. 34-58643 |
| 34-58176 | Jul 16, 2008 | SR-FINRA-2008-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto, Relating to the Adoption of NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook See Also - Rel. No. 34-58643 |
| 34-58149 | Jul 11, 2008 | SR-FINRA-2008-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Elimination of Certain Fee References in the Incorporated NYSE Rules |
| 34-58134 | Jul 10, 2008 | SR-FINRA-2008-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to the Adoption of NASD Rule 2790 as FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-58421 |
| 34-58124 | Jul 9, 2008 | SR-FINRA-2008-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules See Also - Rel. No. 34-59091 |
| 34-58118 | Jul 8, 2008 | SR-FINRA-2008-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-58661 |
| 34-58115 | Jul 7, 2008 | SR-FINRA-2007-026 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto for TRACE to Disseminate Additional Data Elements Relating to Each Transaction See Also - Rel. No. 34-57866 |
| 34-58095 | Jul 3, 2008 | SR-FINRA-2008-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58643 |
| 34-58103 | Jul 3, 2008 | SR-FINRA-2008-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules View Received Comments See Also - Rel. No. 34-58533 |
| 34-58004 | Jun 23, 2008 | SR-FINRA-2008-009 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements See Also - Rel. No. 34-57529 |