|
|
 |
Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2013
We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read
How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
FINRA File Number List for 2013
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007
NASD
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-FINRA-2013-048 |
|
34-71196 |
Dec. 27, 2013 |
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:
Notice: Rel. No. 34-70876
|
SR-FINRA-2013-047 |
|
34-71195 |
Dec. 27, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
See also:
Notice: Rel. No. 34-70880
|
SR-FINRA-2013-039 |
|
34-71180 |
Dec. 24, 2013 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
See also:
Order: Rel. No. 34-71927;
Notice: Rel. No. 34-71819;
Notice: Rel. No. 34-71629;
Notice: Rel. No. 34-70482
|
SR-FINRA-2013-025 |
|
34-71179 |
Dec. 23, 2013 |
Order Granting Approval of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1
See also:
Notice: Rel. No. 34-70612,
Notice: Rel. No. 34-69902
Comments received
are available
for this proposal.
|
SR-FINRA-2013-053 |
|
34-71147 |
Dec. 19, 2013 |
Notice of Filing of a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-71467
|
SR-FINRA-2013-052 |
|
34-71042 |
Dec. 11, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 7, 2014
Additional Materials:
Exhibit 3
See also:
Order: Rel. No. 34-71457
|
SR-FINRA-2013-051 |
|
34-71027 |
Dec. 9, 2013 |
Notice of Filing of a Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
Comments due: January 3, 2014
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-71626,
Notice: Rel. No. 34-71373
|
SR-FINRA-2013-036 |
|
34-70966 |
Dec. 3, 2013 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: December 30, 2013
Rebuttal comments due: January 13, 2013
See also:
Order: Rel. No. 34-72067,
Notice: Rel. No. 34-71636,
Notice: Rel. No. 34-70276,
Notice: Rel. No. 34-70613,
|
SR-FINRA-2013-035 |
|
34-70958 |
Nov. 27, 2013 |
Order Approving Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as Modified by Partial Amendments No. 1 and No. 2
See also:
Notice: Rel. No. 34-70272
|
SR-FINRA-2013-037 |
|
34-70957 |
Nov. 27, 2013 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: December 26, 2013
See also:
Notice: Rel. No. 34-70312
Comments received
are available
for this proposal.
|
SR-FINRA-2013-050 |
|
34-70924 |
Nov. 22, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: December 20, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Notice: Rel. No. 34-71623,
Notice: Rel. No. 34-71262
|
SR-FINRA-2013-046 |
|
34-70906 |
Nov. 20, 2013 |
Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
Comments due: December 17, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Notice: Rel. No. 34-71607,
Notice: Rel. No. 34-71282
|
SR-FINRA-2013-048 |
|
34-70876 |
Nov. 14, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-71196
|
SR-FINRA-2013-047 |
|
34-70880 |
Nov. 14, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-71195
|
SR-FINRA-2013-049 |
|
34-70839 |
Nov. 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: December 6, 2013
|
SR-FINRA-2013-031 |
|
34-70776 |
Oct. 30, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: November 26, 2013
Rebuttal comments due: December 10, 2013
See also:
Order: Rel. No. 34-71407,
Notice: Rel. No. 34-70358,
Notice: Rel. No. 34-70048
|
SR-FINRA-2013-045 |
|
34-70744 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 6 Examination Program
Comments due: November 19, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-044 |
|
34-70702 |
Oct. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: November 13, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-043 |
|
34-70691 |
Oct. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-042 |
|
34-70676 |
Oct. 11, 2013 |
Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
See also:
Notice and Order: Rel. No. 34-71341
Comments received
are available
for this proposal.
|
SR-FINRA-2013-027 |
|
34-70619 |
Oct. 7, 2013 |
Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
See also:
Notice: Rel. No. 34-69913
|
SR-FINRA-2013-036 |
|
34-70613 |
Oct. 4, 2013 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
See also:
Order: Rel. No. 34-72067,
Notice: Rel. No. 34-71636,
Notice: Rel. No. 34-70276,
Notice: Rel. No. 34-70966
|
SR-FINRA-2013-025 |
|
34-70612 |
Oct. 4, 2013 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: November 12, 2013
See also:
Order: Rel. No. 34-71179,
Notice: Rel. No. 34-69902
Comments received
are available
for this proposal.
|
| Third Quarter |
SR-FINRA-2013-033 |
|
34-70521 |
Sep. 26, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2))
See also:
Notice: Rel. No. 34-70131
|
SR-FINRA-2013-041 |
|
34-70516 |
Sep. 26, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
Comments due: October 23, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-040 |
|
34-70483 |
Sep. 24, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
Comments due: October 21, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-039 |
|
34-70482 |
Sep. 24, 2013 |
Notice of Filing of Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: October 21, 2013
See also:
Order: Rel. No. 34-71180
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-71927,
Notice: Rel. No. 34-71819,
Notice: Rel. No. 34-71629,
Notice: Rel. No. 34-71180
|
SR-FINRA-2013-023 |
|
34-70442 |
Sep. 18, 2013 |
Order Approving Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
See also:
Notice: Rel. No. 34-69762
|
SR-FINRA-2013-024 |
|
34-70419 |
Sep. 16, 2013 |
Order Approving Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by Amendment No. 1
See also:
Notice: Rel. No. 34-69761
|
SR-FINRA-2013-031 |
|
34-70358 |
Sep. 10, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility
See also:
Order: Rel. No. 34-71407,
Order: Rel. No. 34-70776,
Notice: Rel. No. 34-70048
|
SR-FINRA-2013-029 |
|
34-70345 |
Sep. 6, 2013 |
Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
See also:
Notice: Rel. No. 34-70009
|
SR-FINRA-2013-037 |
|
34-70312 |
Sep. 4, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131
Comments due: October 1, 2013
See also:
Notice: Rel. No. 34-70957
Comments received
are available
for this proposal.
|
SR-FINRA-2013-038 |
|
34-70288 |
Aug. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due: September 26, 2013
|
SR-FINRA-2013-036 |
|
34-70276 |
Aug. 28, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: September 25, 2013
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-72067,
Notice: Rel. No. 34-71636,
Notice: Rel. No. 34-70613,
Notice: Rel. No. 34-70966
|
SR-FINRA-2013-035 |
|
34-70272 |
Aug. 27, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
Comments due: September 24, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-70958
Comments received
are available
for this proposal.
|
SR-FINRA-2013-032 |
|
34-70268 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 16 Examination Program
Comments due: September 24, 2013
|
SR-FINRA-2013-034 |
|
34-70227 |
Aug. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Comments due: September 13, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-033 |
|
34-70131 |
Aug. 7, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))
Comments due: September 3, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-70521
Comments received
are available
for this proposal.
|
SR-FINRA-2013-031 |
|
34-70048 |
Jul. 26, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: August 22, 2013
See also:
See also:
Order: Rel. No. 34-71407,
Order: Rel. No. 34-70776,
Notice: Rel. No. 34-70358
Comments received
are available
for this proposal.
|
SR-FINRA-2013-029 |
|
34-70009 |
Jul. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Comments due: August 15, 2013
Additional Materials:
Exhibit 2,
Exhibit 5
See also:
Order: Rel. No. 34-70345
Comments received
are available
for this proposal.
|
SR-FINRA-2013-030 |
|
34-69993 |
Jul. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 12, 2013
|
SR-FINRA-2013-028 |
|
34-69966 |
Jul. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 55 Examination Program
Comments due: August 6, 2013
|
SR-FINRA-2013-027 |
|
34-69913 |
Jul. 2, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
Comments due: July 30, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-70619
Comments received
are available
for this proposal.
|
SR-FINRA-2013-025 |
|
34-69902 |
Jul. 1, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 29, 2013
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-71179,
Notice: Rel. No. 34-70612
|
| Second Quarter |
SR-FINRA-2013-026 |
|
34-69843 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)
Comments due: July 22, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-018 |
|
34-69825 |
Jun. 21, 2013 |
Order Approving Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as Modified by Amendment No. 1.
See also:
Notice: Rel. No. 34-69178
|
SR-FINRA-2013-023 |
|
34-69762 |
Jun. 13, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
Comments due: July 11, 2013
See also:
Order: Rel. No. 34-70442
Comments received
are available
for this proposal.
|
SR-FINRA-2013-024 |
|
34-69761 |
Jun. 13, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings
Comments due: July 11, 2013
See also:
Order: Rel. No. 34-70419
Comments received
are available
for this proposal.
|
SR-FINRA-2013-022 |
|
34-69702 |
Jun. 5, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions
Comments due: July 2, 2013
|
SR-FINRA-2013-013 |
|
34-69561 |
May 13, 2013 |
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also:
Notice: Rel. No. 34-69173,
Notice: Rel. No. 34-68842
|
SR-FINRA-2013-021 |
|
34-69543 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: June 5, 2013
|
SR-FINRA-2013-002 |
|
34-69440 |
Apr. 24, 2013 |
Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also:
Notice: Rel. No. 34-69063,
Notice: Rel. No. 34-68700
|
SR-FINRA-2013-020 |
|
34-69398 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-003 |
|
34-69297 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
See also:
Notice: Rel. No. 34-68632
|
SR-FINRA-2013-019 |
|
34-69262 |
Apr. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013
|
| First Quarter |
SR-FINRA-2013-018 |
|
34-69178 |
Mar. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69825
Comments received
are available
for this proposal.
|
SR-FINRA-2013-013 |
|
34-69173 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also:
Order: Rel. No. 34-69561,
Notice: Rel. No. 34-68842
|
SR-FINRA-2013-017 |
|
34-69089 |
Mar. 8, 2013 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-002 |
|
34-69063 |
Mar. 7, 2013 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also:
Notice: Rel. No. 34-69440,
Notice: Rel. No. 34-68700
|
SR-FINRA-2012-052 |
|
34-69037 |
Mar. 5, 2013 |
Order Granting Approval of Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
See also:
Notice: Rel. No. 34-68768,
Notice: Rel. No. 34-68414
|
SR-FINRA-2013-016 |
|
34-68985 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-015 |
|
34-68942 |
Feb. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-014 |
|
34-68918 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2012-010 |
|
34-68874 |
Feb. 8, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
See also:
Notice: Rel. No. 34-68526
|
SR-FINRA-2013-010 |
|
34-68855 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-009 |
|
34-68846 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013
|
SR-FINRA-2013-013 |
|
34-68842 |
Feb. 6, 2013 |
Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69561,
Notice: Rel. No. 34-69173
Comments received
are available
for this proposal.
|
SR-FINRA-2012-050 |
|
34-68832 |
Feb. 5, 2013 |
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: March 4, 2013
See also:
Notice: Rel. No. 34-68270
|
SR-FINRA-2013-012 |
|
34-68808 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013
|
SR-FINRA-2013-011 |
|
34-68778 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013
|
SR-FINRA-2013-008 |
|
34-68775 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 27, 2013
|
SR-FINRA-2012-052 |
|
34-68768 |
Jan. 30, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
See also:
Notice: Rel. No. 34-69037,
Notice: Rel. No. 34-68414
|
SR-FINRA-2013-006 |
|
34-68701 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-002 |
|
34-68700 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
See also:
Notice: Rel. No. 34-69440,
Notice: Rel. No. 34-69063
Comments received
are available
for this proposal.
|
SR-FINRA-2013-004 |
|
34-68692 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 2013
|
SR-FINRA-2012-053 |
|
34-68675 |
Jan. 16, 2013 |
Order Approving Proposed Rule Change to Establish Optional TRACE Data Delivery Services and Related Fees
See also:
Notice: Rel. No. 34-68387
|
SR-FINRA-2013-001 |
|
34-68650 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013
|
SR-FINRA-2013-005 |
|
34-68633 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013
|
SR-FINRA-2013-003 |
|
34-68632 |
Jan. 11, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
See also:
Order: Rel. No. 34-69297
Comments received
are available
for this proposal.
|
| FINRA File Number List for 2013 |
| Release No. |
Date |
Details |
SR-FINRA-2013-056 |
|
34-71272 |
Jan. 9, 2014 |
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
Comments due: February 5, 2014
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-055 |
|
34-71231 |
Jan. 2, 2014 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 2360 (Options) Position Limits
Comments due: January 29, 2014
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-054 |
|
34-71575 |
Feb. 19, 2014 |
Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan
|
|
34-71224 |
Jan. 2, 2014 |
Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan
Comments due: January 29, 2014
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-053 |
|
34-71467 |
Feb. 3, 2014 |
Order Approving a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
|
|
34-71147 |
Dec. 19, 2013 |
Notice of Filing of a Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-052 |
|
34-71457 |
Jan. 31, 2014 |
Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant
|
|
34-71042 |
Dec. 11, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 7, 2014
Additional Materials:
Exhibit 3
|
SR-FINRA-2013-051 |
|
34-71626 |
Feb. 27, 2014 |
Order Approving Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
|
|
34-71373 |
Jan. 23, 2014 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
|
|
34-71027 |
Dec. 9, 2013 |
Notice of Filing of a Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
Comments due: January 3, 2014
Comments received
are available
for this proposal.
|
SR-FINRA-2013-050 |
|
34-71623 |
Feb. 27, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: 21 days after publication in the Federal Register
|
|
34-71262 |
Jan. 9, 2014 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
|
|
34-70924 |
Nov. 22, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
Comments due: December 20, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-049 |
|
34-70839 |
Nov. 8, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: December 6, 2013
|
SR-FINRA-2013-048 |
|
34-71196 |
Dec. 27, 2013 |
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
|
|
34-70876 |
Nov. 14, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-047 |
|
34-71195 |
Dec. 27, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
|
|
34-70880 |
Nov. 14, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
Comments due: December 11, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-046 |
|
34-71607 |
Feb. 24, 2014 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities
Comments due: 21 days after publication in the Federal Register
Comments received
are available
for this proposal.
|
|
34-71282 |
Jan. 10, 2014 |
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
|
|
34-70906 |
Nov. 20, 2013 |
Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
Comments due: December 17, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-045 |
|
34-70744 |
Oct. 23, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 6 Examination Program
Comments due: November 19, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-044 |
|
34-70702 |
Oct. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Comments due: November 13, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-043 |
|
34-70691 |
Oct. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-042 |
|
34-71341 |
Jan. 17, 2014 |
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
Comments due: February 14, 2014
|
|
34-70676 |
Oct. 11, 2013 |
Notice of Filing of Proposed Rule Change to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-041 |
|
34-70516 |
Sep. 26, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
Comments due: October 23, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-040 |
|
34-70483 |
Sep. 24, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
Comments due: October 21, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-039 |
|
34-71819 |
Mar. 27, 2014 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Clarify the Classification and Reporting of Certain Securities to FINRA
|
|
34-71629 |
Feb. 27, 2014 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: 21 days after publication in the Federal Register
|
|
34-71180 |
Dec. 24, 2013 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
|
|
34-70482 |
Sep. 24, 2013 |
Notice of Filing of Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Comments due: October 21, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-038 |
|
34-70288 |
Aug. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due: September 26, 2013
|
SR-FINRA-2013-037 |
|
34-70957 | Nov. 27, 2013 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: December 26, 2013
Comments received
are available
for this proposal.
|
|
34-70312 |
Sep. 4, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131
Comments due: October 1, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-036 |
| 34-72067 |
May 1, 2014 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Self-Trades and FINRA Rule 5210 (Publication of Transactions and Quotations)
|
|
34-71636 |
Feb. 28, 2014 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
|
| 34-70966 |
Dec. 3, 2013 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: December 30, 2013
Rebuttal comments due: January 13, 2013
Comments received are available for this proposal.
|
| 34-70613 |
Oct. 4, 2013 |
Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
|
|
34-70276 |
Aug. 28, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
Comments due: September 25, 2013
Comments received are available for this proposal.
|
SR-FINRA-2013-035 |
|
34-70958 |
Nov. 27, 2013 |
Order Approving Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as Modified by Partial Amendments No. 1 and No. 2 |
|
34-70272 |
Aug. 27, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection - Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
Comments due: September 24, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-034 |
|
34-70227 |
Aug. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
Comments due: September 13, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-033 |
|
34-70521 |
Sep. 26, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2))
|
|
34-70131 |
Aug. 7, 2013 |
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))
Comments due: September 3, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-032 |
|
34-70268 |
Aug. 27, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 16 Examination Program
Comments due: September 24, 2013
|
SR-FINRA-2013-031 |
|
34-71407 |
Jan. 27, 2014 |
Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility
|
|
34-70776 |
Oct. 30, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: November 26, 2013
Rebuttal comments due: December 10, 2013
|
|
34-70358 |
Sep. 10, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility
|
|
34-70048 |
Jul. 26, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility
Comments due: August 22, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-030 |
|
34-69993 |
Jul. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: August 12, 2013
|
SR-FINRA-2013-029 |
|
34-70345 |
Sep. 6, 2013 |
Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
|
|
34-70009 |
Jul. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
Comments due: August 15, 2013
Additional Materials:
Exhibit 2,
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-028 |
|
34-69966 |
Jul. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Series 55 Examination Program
Comments due: August 6, 2013
|
SR-FINRA-2013-027 |
|
34-70619 |
Oct. 7, 2013 |
Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
See also:
Notice: Rel. No. 34-69913
|
|
34-69913 |
Jul. 2, 2013 |
Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
Comments due: July 30, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-026 |
|
34-69843 |
Jun. 25, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)
Comments due: July 22, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-025 |
|
34-71179 |
Dec. 23, 2013 |
Order Granting Approval of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1
|
|
34-70612 |
Oct. 4, 2013 |
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: November 12, 2013
Comments received
are available
for this proposal.
|
|
34-69902 |
Jul. 1, 2013 |
Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Comments due: July 29, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-024 |
|
34-70419 |
Sep. 16, 2013 |
Order Approving Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by Amendment No. 1
|
|
34-69761 |
Jun. 13, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings
Comments due: July 11, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-023 |
|
34-70442 |
Sep. 18, 2013 |
Order Approving Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
|
|
34-69762 |
Jun. 13, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition
Comments due: July 11, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-022 |
|
34-69702 |
Jun. 5, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions
Comments due: July 2, 2013
|
SR-FINRA-2013-021 |
|
34-69543 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: June 5, 2013
|
SR-FINRA-2013-020 |
|
34-69398 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-019 |
|
34-69262 |
Apr. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013
|
SR-FINRA-2013-018 |
|
34-69825 |
Jun. 21, 2013 |
Order Approving Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as Modified by Amendment No. 1.
|
|
34-69178 |
Mar. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-017 |
|
34-69089 |
Mar. 8, 2013 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-016 |
|
34-68985 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-015 |
|
34-68942 |
Feb. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-014 |
|
34-68918 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-013 |
|
34-69561 |
May 13, 2013 |
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
|
|
34-69173 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
|
|
34-68842 |
Feb. 6, 2013 |
Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-012 |
|
34-68808 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013
|
SR-FINRA-2013-011 |
|
34-68778 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013
|
SR-FINRA-2013-010 |
|
34-68855 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials:
Exhibit 5
|
SR-FINRA-2013-009 |
|
34-68846 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013
|
SR-FINRA-2013-008 |
|
34-68775 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 27, 2013
|
SR-FINRA-2013-006 |
|
34-68701 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-FINRA-2013-005 |
|
34-68633 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013
|
SR-FINRA-2013-004 |
|
34-68692 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 2013
|
SR-FINRA-2013-003 |
|
34-69297 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
|
|
34-68632 |
Jan. 11, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-002 |
|
34-69440 |
Apr. 24, 2013 |
Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
|
|
34-69063 |
Mar. 7, 2013 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
|
|
34-68700 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
Comments received
are available
for this proposal.
|
SR-FINRA-2013-001 |
|
34-68650 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013
|
http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2013.shtml
|
