Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-57681 | Apr 17, 2008 | SR-FINRA-2008-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports To Identify Other Members for Agency and Riskless Principal Transactions View Received Comments See Also - Rel. No. 34-58903A, Rel. No. 34-58903 |
| 34-57622 | Apr 4, 2008 | SR-FINRA-2008-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02 |
| 34-57572 | Mar 27, 2008 | SR-FINRA-2008-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Establish New Procedures for Arbitrators To Follow When Considering Requests for Expungement Relief View Received Comments See Also - Rel. No. 34-58886 |
| 34-57529 | Mar 19, 2008 | SR-FINRA-2008-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 View Received Comments See Also - Rel. No. 34-58004 |
| 34-57525 | Mar 18, 2008 | SR-FINRA-2008-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances View Received Comments See Also - Rel. No. 34-58739 |
| 34-57497 | Mar 14, 2008 | SR-FINRA-2007-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Address Motions To Dismiss and To Amend the Eligibility Rule Related to Dismissals View Received Comments See Also - Rel. No. 34-59189 |
| 34-57480 | Mar 12, 2008 | SR-FINRA-2008-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA |
| 34-57474 | Mar 11, 2008 | SR-FINRA-2008-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws See Also - Rel. No. 34-57259 |
| 34-57462 | Mar 10, 2008 | SR-FINRA-2008-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C |
| 34-57413 | Mar 3, 2008 | SR-FINRA-2008-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent a Pilot Program That Increases Options Position and Exercise Limits |