Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-56571 | Sep 28, 2007 | SR-FINRA-2007-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System See Also - Rel. No. 34-56199 |
| 34-56491 | Sep 21, 2007 | SR-FINRA-2007-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Changes in the Functionality of the NASD/NYSE Trade Reporting Facility |
| 34-56480 | Sep 20, 2007 | SR-FINRA-2007-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations When Distributing Third-Party Research View Received Comments See Also - Rel. No. 34-57279 |
| 34-56481 | Sep 20, 2007 | SR-FINRA-2007-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research Report View Received Comments See Also - Rel. No. 34-57278 |
| 34-56439 | Sep 13, 2007 | SR-FINRA-2007-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Exemption From Reporting for TRACE-Eligible Securities Transactions Resulting From Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar Instruments See Also - Rel. No. 34-56709 |
| 34-56373 | Sep 7, 2007 | SR-FINRA-2007-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) To Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction To Transfer a Customer's Securities Account Consistent With the Time Frames in the Automated Customer Account Transfer Service View Received Comments See Also - Rel. No. 34-56677 |
| 34-56327 | Aug 28, 2007 | SR-FINRA-2007-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Historic TRACE Data View Received Comments See Also - Rel. No. 34-61012 |
| 34-56321 | Aug 24, 2007 | SR-FINRA-2007-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASD Rules 4632C, 6130C and 6130 |
| 34-56265 | Aug 15, 2007 | SR-FINRA-2007-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Increases Position and Exercise Limits for Certain Equity Options |
| 34-56199 | Aug 3, 2007 | SR-FINRA-2007-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System See Also - Rel. No. 34-56571 |