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Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2015

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
Third Quarter |  Second Quarter |  First Quarter

FINRA File Number List for 2015

Additional Archives

NASD


Chronological List
Release No. Date Details
Fourth Quarter

SR-FINRA-2015-059
34-76813 Dec. 31, 2015 Notice of Filing of a Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedul
Comments due: 21 days after publication in the Federal Register
See also: Order: Rel. No. 34-77098

SR-FINRA-2015-058
34-76812 Dec. 31, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-056
34-76767 Dec. 24, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
See also: Order: Rel. No. 34-78683, Order: Rel. No. 34-77465
Comments received are available for this proposal.

SR-FINRA-2015-057
34-76757 Dec. 23, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)
Comments due: January 20, 2016
Comments received are available for this proposal.

SR-FINRA-2015-055
34-76677 Dec. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide FINRA with Authority to Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions
Comments due:  January 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-054
34-76675 Dec. 17, 2015 Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
Comments due:  January 13, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
See also: Order: Rel. No. 34-78617, Notice: Rel. No. 34-78220, Notice: Rel. No. 34-77581, Order: Rel. No. 34-77391
Comments received are available for this proposal.

SR-FINRA-2015-034
34-76670 Dec. 16, 2015 Order Approving a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
See also: Notice: Rel. No. 34-76444, Notice: Rel. No. 34-76082

SR-FINRA-2015-052
34-76650 Dec. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
Comments due: January 11, 2016
Additional Materials: Exhibit 5

SR-FINRA-2015-033
34-76639 Dec. 14, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
See also: Notice: Rel. No. 34-76059

SR-FINRA-2015-053
34-76556 Dec. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  December 31, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-FINRA-2015-050
34-76532 Dec. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: December 28, 2015

SR-FINRA-2015-051
34-76519 Nov. 24, 2015 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 22, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-048
34-76484 Nov. 19, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due:  December 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76854, Notice: Rel. No. 34-77164
Comments received are available for this proposal.

SR-FINRA-2015-047
34-76483 Nov. 19, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: December 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77218, Notice: Rel. No. 34-76855
Comments received are available for this proposal.

SR-FINRA-2015-034
34-76444 Nov. 16, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
See also: Order: Rel. No. 34-76670, Notice: Rel. No. 34-76082

SR-FINRA-2015-029
34-76430 Nov. 12, 2015

Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook
Comments due:  December 9, 2015
Rebuttal comments due:  January 4, 2016
See also: Order: Rel. No. 34-77550, Notice: Rel. No. 34-77103, Notice: Rel. No. 34-75655


SR-FINRA-2015-044
34-76391 Nov. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
Comments due: December 8, 2015

SR-FINRA-2015-045
34-76385 Nov. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Comments due:  December 4, 2015

SR-FINRA-2015-046
34-76360 Nov. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2015-032
34-76359 Nov. 5, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
See also: Notice: Rel. No. 34-75988

SR-FINRA-2015-040
34-76239 Oct. 22, 2015 Notice of Filing of a Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
Comments due:  November 18, 2015
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 3d, Exhibit 5
See also: Notice: Rel. No. 34-76970
Comments received are available for this proposal.

SR-FINRA-2015-041
34-76238 Oct. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Establish Fees for Funding Portals
Comments due:  November 18, 2015

SR-FINRA-2015-043
34-76213 Oct. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Comments due:  November 17, 2015

SR-FINRA-2015-039
34-76190 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 28 Examination Program
Comments due:  November 13, 2015

SR-FINRA-2015-038
34-76189 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 27 Examination Program
Comments due:  November 13, 2015

SR-FINRA-2015-042
34-76188 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Comments due:  November 13, 2015

SR-FINRA-2015-026
34-76176 Oct. 16, 2015 Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
Comments due:  November 12, 2015
See also: Notice: Rel. No. 34-75875, Notice: Rel. No. 34-75588

SR-FINRA-2015-036
34-76148 Oct. 14, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
Comments due:  November 10, 2015
Additional Materials: Exhibit 5
See also:  Notice/Order: Rel. No. 34-78081; Order: Rel. No. 34-76908, Order: Rel. No. 34-77579
Comments received are available for this proposal.

SR-FINRA-2015-037
34-76121 Oct. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due:  November 6, 2015

SR-FINRA-2015-022
34-76105 Oct. 8, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
See also: Notice: Rel. No. 34-75377

SR-FINRA-2015-034
34-76082 Oct. 6, 2015 Notice of Filing of a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
Comments due:  November 3, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76670, Notice: Rel. No. 34-76444
Comments received are available for this proposal.

SR-FINRA-2015-020
34-76078 Oct. 5, 2015 Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, to Expand FINRA’s Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs
See also: Notice: Rel. No. 34-75697, Notice: Rel. No. 34-75356
Third Quarter

SR-FINRA-2015-035
34-76061 Sep. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Comments due:  October 27, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-033
34-76059 Sep. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
Comments due:  October 27, 2015
Additional Materials: Exhibit 2

SR-FINRA-2015-032
34-75988 Sep. 25, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
Comments due: October 22, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76359
Comments received are available for this proposal.

SR-FINRA-2015-026
34-75875 Sep. 10, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
See also: Notice: Rel. No. 34-76176, Notice: Rel. No. 34-75588

SR-FINRA-2015-031
34-75865 Sep. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination ("Series 50 examination")
Comments due:  October 6, 2015

SR-FINRA-2015-017
34-75783 Aug. 28, 2015 Order Approving a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
See also: Notice: Rel. No. 34-75394

SR-FINRA-2015-025
34-75782 Aug. 28, 2015 Order Approving Proposed Rule Change to Require Members to Report Transactions in TRACE-Eligible Securities as Soon as Practicable
See also: Notice: Rel. No. 34-75428

SR-FINRA-2015-030
34-75757 Aug. 25, 2015

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
Comments due:  September 21, 2015


SR-FINRA-2015-020
34-75697 Aug. 13, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
See also: Order: Rel. No. 34-76078, Notice: Rel. No. 34-75356

SR-FINRA-2015-029
34-75655 Aug. 10, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due:  September 4, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77550, Notice: Rel. No. 34-77103, Notice: Rel. No. 34-76430
Comments received are available for this proposal.

SR-FINRA-2015-028
34-75639 Aug. 7, 2015 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:  September 3, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-009
34-75633 Aug. 6, 2015 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
See also: Notice: Rel. No. 34-74890

SR-FINRA-2015-019
34-75629 Aug. 6, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
See also: Notice: Rel. No. 34-75333

SR-FINRA-2015-026
34-75588 Aug. 3, 2015 Notice of Filing of a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
Comments due: August 28, 2015
See also: Notice: Rel. No. 34-76176, Notice: Rel. No. 34-75875
Comments received are available for this proposal.

SR-FINRA-2015-015
34-75581 Jul. 31, 2015 Order Approving a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
See also: Notice: Rel. No. 34-75154

SR-FINRA-2015-027
34-75560 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: August 26, 2015

SR-FINRA-2014-048
34-75472 Jul. 16, 2015 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
See also: Notice: Rel. No. 34-75013, Notice: Rel. No. 34-74490, Notice: Rel. No. 34-74340, Notice: Rel. No. 34-73623

SR-FINRA-2014-047
34-75471 Jul. 16, 2015 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-75012, Notice: Rel. No. 34-74488, Notice: Rel. No. 34-74339, Notice: Rel. No. 34-73622

SR-FINRA-2015-025
34-75428 Jul. 10, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Comments due:  August 6, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75782
Comments received are available for this proposal.

SR-FINRA-2015-017
34-75394 Jul. 8, 2015 Notice of Filing of a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
Comments due:  August 4, 2015
Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-75783
Comments received are available for this proposal.

SR-FINRA-2015-022
34-75377 Jul. 7, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
Comments due:  August 3, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-024
34-75364 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
Comments due:  July 31, 2015

SR-FINRA-2015-023
34-75365 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA's Website
Comments due:  July 31, 2015
Comments received are available for this proposal.

SR-FINRA-2015-020
34-75356 Jul. 2, 2015 Notice of Filing of a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
Comments due:  July 30, 2015
See also: Order: Rel. No. 34-76078, Notice: Rel. No. 34-75697
Comments received are available for this proposal.
Second Quarter

SR-FINRA-2015-021
34-75339 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  July 28, 2015

SR-FINRA-2015-019
34-75333 Jun. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
Comments due:  July 28, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-018
34-75246 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program
Comments due:  July 15, 2015

SR-FINRA-2015-016
34-75160 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 8, 2015

SR-FINRA-2015-015
34-75154 Jun. 11, 2015 Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Comments due: July 8, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75581
Comments received are available for this proposal.

SR-FINRA-2015-013
34-75069 May 29, 2015 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: June 25, 2015

SR-FINRA-2015-012
34-75058 May 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-003
34-75036 May 22, 2015 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing
See also: Notice: Rel. No. 34-74289

SR-FINRA-2014-048
34-75013 May 20, 2015 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
See also: Notice: Rel. No. 34-74490, Order: Rel. No. 34-74340, Notice: Rel. No. 34-73623, Order: Rel. No. 34-75472

SR-FINRA-2014-047
34-75012 May 20, 2015 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-74488, Order: Rel. No. 34-74339, Notice: Rel. No. 34-73622, Order: Rel. No. 34-75471

SR-FINRA-2015-011
34-74953 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-010
34-74927 May 12, 2015 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: June 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-009
34-74890 May 6, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Comments due: June 2, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-008
34-74807 Apr. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Comments due: May 21, 2015
Comments received are available for this proposal.

SR-FINRA-2015-007
34-74734 Apr. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Comments due:  May 12, 2015
First Quarter

SR-FINRA-2015-006
34-74568 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
Comments due: April 20, 2015

SR-FINRA-2015-005
34-74512 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Comments due: April 10, 2015
Comments received are available for this proposal.

SR-FINRA-2014-048
34-74490 Mar. 12, 2015 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: April 8, 2015
See also: Notice: Rel. No. 34-75013, Order: Rel. No. 34-74340, Notice: Rel. No. 34-73623, Order: Rel. No. 34-75472

SR-FINRA-2014-047
34-74488 Mar. 12, 2015 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Comments due: April 8, 2015
See also: Notice: Rel. No. 34-75012, Order: Rel. No. 34-74339, Notice: Rel. No. 34-73622, Order: Rel. No. 34-75471

SR-FINRA-2014-030
34-74486 Mar. 12, 2015 Notice of Withdrawal of Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
See also: Notice: Rel. No. 34-74021, Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575

SR-FINRA-2014-050
34-74482 Mar. 11, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Require a Member to Identify Transactions With a Non-Member Affiliate and to Change How FINRA Disseminates a Subset of Such Transactions
Comments due: April 7, 2015

SR-FINRA-2014-028
34-74383 Feb. 26, 2015 Order Approving a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
See also: Order: Rel. No. 34-73277, Notice: Rel. No. 34-72491

SR-FINRA-2015-004
34-74349 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) in the Consolidated FINRA Rulebook
Comments due: March 20, 2015
Additional Materials: Exhibit 5

SR-FINRA-2014-048
34-74340 Feb. 20, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: March 19, 2015
Rebuttal comments due: April 2, 2015
See also: Notice: Rel. No. 34-75013, Notice: Rel. No. 34-74490, Notice: Rel. No. 34-73623, Order: Rel. No. 34-75472

SR-FINRA-2014-047
34-74339 Feb. 20, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Comments due: March 19, 2015
Rebuttal comments due: April 2, 2015
See also: Notice: Rel. No. 34-75012, Notice: Rel. No. 34-74488, Notice: Rel. No. 34-73622, Order: Rel. No. 34-75471

SR-FINRA-2015-003
34-74289 Feb. 18, 2015 Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase the Late Cancellation Fee
Comments due: March 17, 2015
See also: Order Rel. No. 34-75036

Comments received are available for this proposal.

SR-FINRA-2015-002
34-74251 Feb. 11, 2015 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: March 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2014-030
34-74021 Jan. 9, 2015 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
See also: Notice Rel. No. 34-74486; Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575


FINRA File Number List for 2015
Release No. Date Details

SR-FINRA-2015-059
34-77098 Feb. 9, 2016 Order Approving a Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
34-76813 Dec. 31, 2015 Notice of Filing of a Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-058
34-76812 Dec. 31, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-057
34-77430 Mar. 23, 2016 Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)
See also: Notice: Rel. No. 34-76757
34-76757 Dec. 23, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)
Comments due: January 20, 2016
Comments received are available for this proposal.

SR-FINRA-2015-056
34-78683 Aug. 25, 2016 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules
34-77465 Mar. 29, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules
34-76767 Dec. 24, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules
Comments received are available for this proposal.

SR-FINRA-2015-055
34-76677 Dec. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide FINRA with Authority to Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions
Comments due:  January 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-054
34-78617 Aug. 18, 2016 Order Approving Rule Change as modified by Amendment Nos. 1 and 2 to Adopt FINRA Capital Acquisition Broker Rules
See also: Notice: Rel. No. 34-78220, Notice: Rel. No. 34-77581, Notice: Rel. No. 34-77391, Notice: Rel. No. 34-76675
34-78220 Jul. 1, 2016 Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due: July 18, 2016
Additional Materials: Exhibit 4, Exhibit 5
34-77581 Apr. 11, 2016 Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due:  May 6, 2016
Additional Materials: Exhibit 4, Exhibit 5
34-77391 Mar. 17, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due:  April 13, 2016
Rebuttal comments due:  May 9, 2016
34-76675 Dec. 17, 2015 Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
Comments due:  January 13, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-053
34-76556 Dec. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  December 31, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-FINRA-2015-052
34-76650 Dec. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
Comments due: January 11, 2016
Additional Materials: Exhibit 5

SR-FINRA-2015-051
34-76519 Nov. 24, 2015 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 22, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-050
34-76532 Dec. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: December 28, 2015

SR-FINRA-2015-048
34-77164 Feb. 17, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  March 15, 2016 See also: Exemptive Order
34-76854 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Plan to Implement A Tick Size Pilot Program
Comments due: February 3, 2016
34-76484 Nov. 19, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due:  December 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-047
34-77218 Feb. 23, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: March 21, 2016 See also: Exemptive Letter
34-76855 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
See also: Notice: Rel. No. 34-76483
34-76483 Nov. 19, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: December 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-046
34-76360 Nov. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
Comments due: December 3, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-045
34-76385 Nov. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Comments due:  December 4, 2015

SR-FINRA-2015-044
34-76391 Nov. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
Comments due: December 8, 2015

SR-FINRA-2015-043
34-76213 Oct. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
Comments due:  November 17, 2015

SR-FINRA-2015-042
34-76188 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
Comments due:  November 13, 2015

SR-FINRA-2015-041
34-76238 Oct. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Establish Fees for Funding Portals
Comments due:  November 18, 2015

SR-FINRA-2015-040
34-76970 Jan. 22, 2016 Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Funding Portal Rules and Related Forms and Rule 4518
Comments due: February 18, 2016
Additional Materials: Amendment No. 1
34-76239 Oct. 22, 2015 Notice of Filing of a Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
Comments due:  November 18, 2015
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 3d, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-039
34-76190 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 28 Examination Program
Comments due:  November 13, 2015

SR-FINRA-2015-038
34-76189 Oct. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 27 Examination Program
Comments due:  November 13, 2015

SR-FINRA-2015-037
34-76121 Oct. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
Comments due:  November 6, 2015

SR-FINRA-2015-036
34-78081 Jun. 15, 2016 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3
Comments due: July 12, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77579, Notice: Rel. No. 34-76908, Notice: Rel. No. 34-76148
Comments received are available for this proposal.
34-77579 Apr. 11, 2016 Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2
Comments due:  May 2, 2016
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.
34-76908 Jan. 14, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1
Comments due:  February 11, 2016
Rebuttal comments due:  March 7, 2016

Comments received are available for this proposal.
34-76148 Oct. 14, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
Comments due:  November 10, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-035
34-76061 Sep. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Comments due:  October 27, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-034
34-76670 Dec. 16, 2015 Order Approving a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
34-76444 Nov. 16, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
34-76082 Oct. 6, 2015 Notice of Filing of a Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
Comments due:  November 3, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-033
34-76639 Dec. 14, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
34-76059 Sep. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
Comments due:  October 27, 2015
Additional Materials: Exhibit 2

SR-FINRA-2015-032
34-76359 Nov. 5, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
34-75988 Sep. 25, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
Comments due: October 22, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-031
34-75865 Sep. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination ("Series 50 examination")
Comments due:  October 6, 2015

SR-FINRA-2015-030
34-75757 Aug. 25, 2015

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
Comments due:  September 21, 2015


SR-FINRA-2015-029
34-77550 Apr. 7, 2016 Order Approving Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook
34-77103 Feb. 10, 2016 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook
34-76430 Nov. 12, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook
Comments due:  December 9, 2015
Rebuttal comments due:  January 4, 2016
34-75655 Aug. 10, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
Comments due:  September 4, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-028
34-75639 Aug. 7, 2015 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:  September 3, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-027
34-75560 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: August 26, 2015

SR-FINRA-2015-026
34-76176 Oct. 16, 2015 Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
Comments due:  November 12, 2015
34-75875 Sep. 10, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
34-75588 Aug. 3, 2015 Notice of Filing of a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
Comments due: August 28, 2015
Comments received are available for this proposal.

SR-FINRA-2015-025
34-75782 Aug. 28, 2015 Order Approving Proposed Rule Change to Require Members to Report Transactions in TRACE-Eligible Securities as Soon as Practicable
34-75428 Jul. 10, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Comments due:  August 6, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-024
34-75364 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
Comments due:  July 31, 2015

SR-FINRA-2015-023
34-75365 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA's Website
Comments due:  July 31, 2015
Comments received are available for this proposal.

SR-FINRA-2015-022
34-76105 Oct. 8, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
34-75377 Jul. 7, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)
Comments due:  August 3, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-021
34-75339 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Comments due:  July 28, 2015

SR-FINRA-2015-020
34-76078 Oct. 5, 2015 Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, to Expand FINRA’s Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs
34-75697 Aug. 13, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
See also: Notice: Rel. No. 34-75356
34-75356 Jul. 2, 2015 Notice of Filing of a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
Comments due:  July 30, 2015
Comments received are available for this proposal.

SR-FINRA-2015-019
34-75629 Aug. 6, 2015 Order Approving a Proposed Rule Change to Amend FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
34-75333 Jun. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
Comments due:  July 28, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-018
34-75246 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program
Comments due:  July 15, 2015

SR-FINRA-2015-017
34-75783 Aug. 28, 2015 Order Approving a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
See also: Notice: Rel. No. 34-75394
34-75394 Jul. 8, 2015 Notice of Filing of a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
Comments due:  August 4, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-016
34-75160 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 8, 2015

SR-FINRA-2015-015
34-75581 Jul. 31, 2015 Order Approving a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
See also: Notice: Rel. No. 34-75154
34-75154 Jun. 11, 2015 Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Comments due: July 8, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-013
34-75069 May 29, 2015 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: June 25, 2015

SR-FINRA-2015-012
34-75058 May 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-011
34-74953 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-010
34-74927 May 12, 2015 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: June 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-009
34-75633 Aug. 6, 2015 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
34-74890 May 6, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Comments due: June 2, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-008
34-74807 Apr. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Comments due: May 21, 2015
Comments received are available for this proposal.

SR-FINRA-2015-007
34-74734 Apr. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Comments due:  May 12, 2015

SR-FINRA-2015-006
34-74568 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
Comments due: April 20, 2015

SR-FINRA-2015-005
34-74512 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Comments due: April 10, 2015
Comments received are available for this proposal.

SR-FINRA-2015-004
34-74349 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) in the Consolidated FINRA Rulebook
Comments due: March 20, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-003
34-75036 May 22, 2015 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing
34-74289 Feb. 18, 2015 Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase the Late Cancellation Fee
Comments due: March 17, 2015
Comments received are available for this proposal

SR-FINRA-2015-002
34-74251 Feb. 11, 2015 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: March 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/finra/finraarchive/finraarchive2015.shtml


Modified: 08/25/2016