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