|
|
 |
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
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-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
|
