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.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-58124 | Jul 9, 2008 | SR-FINRA-2008-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change to Amend the Arbitration Uniform Submission Agreement and Related Rules See Also - Rel. No. 34-59091 |
| 34-58118 | Jul 8, 2008 | SR-FINRA-2008-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook View Received Comments See Also - Rel. No. 34-58661 |
| 34-58115 | Jul 7, 2008 | SR-FINRA-2007-026 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto for TRACE to Disseminate Additional Data Elements Relating to Each Transaction See Also - Rel. No. 34-57866 |
| 34-58103 | Jul 3, 2008 | SR-FINRA-2008-036 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to the Incorporated NYSE Rules View Received Comments See Also - Rel. No. 34-58533 |
| 34-58095 | Jul 3, 2008 | SR-FINRA-2008-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook See Also - Rel. No. 34-58643 |
| 34-58004 | Jun 23, 2008 | SR-FINRA-2008-009 | Financial Industry Regulatory Authority (FINRA) | 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 - Rel. No. 34-57529 |
| 34-57986 | Jun 18, 2008 | SR-FINRA-2008-016 | Financial Industry Regulatory Authority (FINRA) | 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 View Received Comments See Also - Rel. No. 34-58331 |
| 34-57935 | Jun 6, 2008 | SR-FINRA-2008-023 | Financial Industry Regulatory Authority (FINRA) | 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 |
| 34-57920 | Jun 4, 2008 | SR-FINRA-2008-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Sales Practice Standards and Supervisory Requirements for Transactions in Deferred Variable Annuities View Received Comments See Also - Rel. No. 34-59772 |
| 34-57866 | May 23, 2008 | SR-FINRA-2007-026 | Financial Industry Regulatory Authority (FINRA) | 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 View Received Comments See Also - Rel. No. 34-58115 |