Financial Industry Regulatory Authority (FINRA)

Short Name

finra

Category

Registered Securities Associations

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2011-019
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 To Amend FINRA Rule 4560 (Short-Interest Reporting)
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 5123 (Private Placements of Securities) in the
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to January 17, 2013 the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend to January 17, 2013 the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Notice of Filing of Proposed Rule Change To Amend the Code of Arbitration Procedure for Industry Disputes To Preclude Collective Action Claims From Being Arbitrated
Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
Notice of Filing of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use o
Notice of Filing of Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program
Order Audit Trail System Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program
Order Audit Trail System Rules
Order Approving a Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction)
Order Approving a Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction)
Notice of Filing of Proposed Rule Change Relating to Whistleblower Claims in Arbitration
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information)
Order Granting Approval of Proposed Rule Change To Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information)
Order Granting Approval of Proposed Rule Change To Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
Notice of Filing of Proposed Rule Change Relating To Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 6121.01 (Trading Pauses) To Exclude Rights and Warrants From the Trading Pause Pilot
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 6121.01 (Trading Pauses) To Exclude Rights and Warrants From the Trading Pause Pilot
Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure
Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules
Order Granting Approval of Proposed Rule Change to Amend Certain TRACE Rules
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References Within Certain FINRA Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
Order Approving Proposed Rule Change To Allow FINRA To Grant Exemptions From Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
Order Approving Proposed Rule Change To Allow FINRA To Grant Exemptions From Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc.
Notice of Filing of Proposed Rule Change To Repeal Incorporated NYSE Rule 2A (Jurisdiction)
Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions
Order Approving Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Order Approving Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Notice of Filing of Proposed Rule Change To Adopt New FINRA Rule 5123 (Private Placements of Securities)
Notice of Filing of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material ("IM") 2320 as FINRA Rule 5310 in the Consolidated Rulebook
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded "To Be Announced"
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded "To Be Announced"
Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction
Notice of Withdrawal of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Notice of Withdrawal of Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Notice of Filing of Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Notice of Proposed Rule Change Related to Market-Wide Circuit Breakers
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules for Certain Alternative Trading Systems
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 37 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 38 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 17 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 37 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 38 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 17 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program
Notice of Filing of Proposed Rule Change To Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
Order Granting Approval of Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Order Granting Approval of Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee for the Operations Professional Examination
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Selection Specifications and Study Outline for the Operations Professional ("Series 99") Examination Program
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts Trust
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position Limit for Options on the Standard and Poor's Depositary Receipts Trust
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Order Approving a Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution and Transfers of Equity Securities To Create or Redeem Instruments Such as ADRs and ETFs

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Financial Industry Regulatory Authority (FINRA)

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Financial Industry Regulatory Authority (FINRA)