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Financial Industry Regulatory Authority (FINRA) Rulemaking
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
Second Quarter | First Quarter
FINRA File Number List for 2008
Additional Archives
2008 | 2007
NASD
| Release No. |
Date |
Details |
| Second Quarter |
SR-FINRA-2008-009 |
| 34-58004 |
Jun. 23, 2008 |
Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
See also: Notice: Rel. No. 34-57529
|
SR-FINRA-2008-016 |
| 34-57986 |
Jun. 18, 2008 |
Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due: 21 days after publication in the Federal Register
Comments received are available for this notice.
 Submit comments on SR-FINRA-2008-016
|
SR-FINRA-2008-023 |
| 34-57935 |
Jun. 6, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due: July 7, 2008
Submit comments on SR-FINRA-2008-023
|
SR-FINRA-2008-019 |
| 34-57920 |
Jun. 4, 2008 |
Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 1, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-019
|
SR-FINRA-2007-026 |
| 34-57866 |
May 23, 2008 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt a FINRA Policy to Expand Disseminated Trade Reporting and Compliance Engine (“TRACE”) Data
Comments due: June 23, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2007-026
|
SR-FINRA-2008-017 |
| 34-57820 |
May 15, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due: June 13, 2008
Submit comments on SR-FINRA-2008-017
|
SR-FINRA-2007-039 |
| 34-57784 |
May 6, 2008 |
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
See also: Notice: Rel. No. 34-57388
|
SR-FINRA-2007-035 |
| 34-57775 |
May 5, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to Options Supervision Requirements
Comments received are available for this notice.
Comments due: May 30, 2008
Submit comments on SR-FINRA-2007-035
|
SR-FINRA-2008-015 |
| 34-57769 |
May 2, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: May 29, 2008
Submit comments on SR-FINRA-2008-015
|
SR-FINRA-2007-041 |
| 34-57765 |
May 1, 2008 |
Order Approving Proposed Rule Change to Amend NASD Rule 7001B to Increase the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
See also: Notice: Rel. No. 34-57164
|
SR-FINRA-2008-013 |
| 34-57720 |
Apr. 25, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due: May 23, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-013
|
SR-FINRA-2008-011 |
| 34-57681 |
Apr. 17, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due: May 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-11
|
SR-FINRA-2008-012 |
| 34-57622 |
Apr. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due: May 2, 2008
|
| First Quarter |
SR-FINRA-2008-010 |
| 34-57572 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due: April 24, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-010
|
SR-FINRA-2008-009 |
| 34-57529 |
Mar. 19, 2008 |
Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due: April 15, 2008
See also: Order: Rel. No. 34-58004
Comments received are available for this notice.
|
SR-FINRA-2008-005 |
| 34-57525 |
Mar. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due: April 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-005
|
SR-FINRA-2007-021 |
| 34-57497 |
Mar. 14, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to Dismissals
Comments due: April 10, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2007-021
|
SR-FINRA-2008-008 |
| 34-57480 |
Mar. 12, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due: April 8, 2008
|
SR-FINRA-2008-001 |
| 34-57474 |
Mar. 11, 2008 |
Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
See also: Notice: Rel. No. 34-57259
|
SR-FINRA-2008-006 |
| 34-57462 |
Mar. 10, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due: April 7, 2008
|
SR-FINRA-2008-007 |
| 34-57413 |
Mar. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due: March 28, 2008
|
SR-FINRA-2007-039 |
| 34-57388 |
Feb. 27, 2008 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)
Comments due: March 20, 2008
See also: Notice: Rel. No. 34-57784
Comments received are available for this notice.
|
SR-FINRA-2008-004 |
| 34-57299 |
Feb. 8, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due: March 7, 2008
|
SR-FINRA-2007-011 |
| 34-57279 |
Feb. 6, 2008 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) Regarding a Member’s Disclosure and Supervisory Review Obligations When it Distributes or Makes Available Third-Party Research Reports
Comments due: March 4, 2008
See also: Notice: Rel. No. 34-56480
|
SR-FINRA-2007-010 |
| 34-57278 |
Feb. 6, 2008 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 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.
Comments due: March 4, 2008
See also: Notice: Rel. No. 34-56481
|
SR-FINRA-2008-001 |
| 34-57259 |
Feb. 1, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due: February 28, 2008
See also: Order: Rel. No. 34-57474
|
SR-FINRA-2007-020 |
| 34-57257 |
Feb. 1, 2008 |
Order Approving Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
See also: Notice: Rel. No. 34-57010
Comments received are available for this notice.
|
SR-FINRA-2007-025 |
| 34-57252 |
Feb. 1, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA’s NYSE Rules 421, 440F, and 440G
Comments due: February 28, 2008
|
SR-FINRA-2008-002 |
| 34-57247 |
Jan. 31, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due: February 27, 2008
|
SR-FINRA-2007-040 |
| 34-57228 |
Jan. 29, 2008 |
Order Approving Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
See also: Notice: Rel. No. 34-57050
|
SR-FINRA-2007-042 |
| 34-57225 |
Jan. 29, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing System
Comments due: February 25, 2008
|
SR-FINRA-2008-003 |
| 34-57217 |
Jan. 28, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due: February 22, 2008
|
SR-FINRA-2007-041 |
| 34-57164 |
Jan. 17, 2008 |
Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7001B to Adjust the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF Participants
Comments due: February 14, 2008
See also: Order: Rel. No. 34-57765
Comments received are available for this notice.
|
SR-FINRA-2007-034 |
| 34-57143 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares
Comments due: February 12, 2008
|
SR-FINRA-2007-038 |
| 34-57133 |
Jan. 11, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
Comments due: February 8, 2008
|
| Release No. |
Date |
Details |
SR-FINRA-2008-023 |
| 34-57935 |
Jun. 6, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Violations Appropriate for Disposition Under FINRA’s Minor Rule Violation Plan
Comments due: July 7, 2008
Submit comments on SR-FINRA-2008-023
|
SR-FINRA-2008-019 |
| 34-57920 |
Jun. 4, 2008 |
Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities
Comments due: July 1, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-019
|
SR-FINRA-2008-017 |
| 34-57820 |
May 15, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
Comments due: June 13, 2008
Submit comments on SR-FINRA-2008-017
|
SR-FINRA-2008-016 |
| 34-57986 |
Jun. 18, 2008 |
Notice of Filing of Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for OTC Equity Transactions Involving Foreign Securities with All Other OTC Equity Securities
Comments due: 21 days after publication in the Federal Register
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-016
|
SR-FINRA-2008-015 |
| 34-57769 |
May 2, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
Comments due: May 29, 2008
Submit comments on SR-FINRA-2008-015
|
SR-FINRA-2008-013 |
| 34-57720 |
Apr. 25, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amending NASD Rule 2220 (Options Communications with the Public)
Comments due: May 23, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-013
|
SR-FINRA-2008-012 |
| 34-57622 |
Apr. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical Amendments to Incorporated NYSE Rule Interpretation 344/02
Comments due: May 2, 2008
|
SR-FINRA-2008-011 |
| 34-57681 |
Apr. 17, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
Comments due: May 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-11
|
SR-FINRA-2008-010 |
| 34-57572 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Establish New Procedures for Arbitrators to Follow When Considering Requests for Expungement Relief
Comments due: April 24, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-010
|
SR-FINRA-2008-009 |
| 34-58004 |
Jun. 23, 2008 |
Order Approving Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
|
| 34-57529 |
Mar. 19, 2008 |
Notice of Filing of Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Amend the Chairperson Eligibility Requirements
Comments due: April 15, 2008
Comments received are available for this notice.
|
SR-FINRA-2008-008 |
| 34-57480 |
Mar. 12, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1013 (New Member Application and Interview) and the Manner in Which Membership Applicants Submit Their Applications to FINRA
Comments due: April 8, 2008
|
SR-FINRA-2008-007 |
| 34-57413 |
Mar. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent a Pilot Program That Increases Options Position and Exercise Limits
Comments due: March 28, 2008
|
SR-FINRA-2008-006 |
| 34-57462 |
Mar. 10, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C
Comments due: April 7, 2008
|
SR-FINRA-2008-005 |
| 34-57525 |
Mar. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances
Comments due: April 15, 2008
Comments received are available for this notice.
Submit comments on SR-FINRA-2008-005
|
SR-FINRA-2008-004 |
| 34-57299 |
Feb. 8, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Fee for the Submission of Non-Media Reports to the NASD/NSX Trade Reporting Facility
Comments due: March 7, 2008
|
SR-FINRA-2008-003 |
| 34-57217 |
Jan. 28, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Regarding the Use of Multiple MPIDs on the Trade Reporting Facilities and the Alternative Display Facility
Comments due: February 22, 2008
|
SR-FINRA-2008-002 |
| 34-57247 |
Jan. 31, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect That the NASD/NYSE Trade Reporting Facility Does Not Support the Three-Party Trade Report Functionality
Comments due: February 27, 2008
|
SR-FINRA-2008-001 |
| 34-57474 |
Mar. 11, 2008 |
Order Approving Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
|
| 34-57259 |
Feb. 1, 2008 |
Notice of Filing of Proposed Rule Change Relating to Amendments to FINRA's Gross Income Assessment and Technical Changes to Schedule A to FINRA's By-Laws
Comments due: February 28, 2008
|
http://www.sec.gov/rules/sro/finra.shtml
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