Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-57413 | Mar 3, 2008 | SR-FINRA-2008-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent a Pilot Program That Increases Options Position and Exercise Limits |
| 34-57388 | Feb 27, 2008 | SR-FINRA-2007-039 | Financial Industry Regulatory Authority (FINRA) | 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) View Received Comments See Also - Rel. No. 34-57784 |
| 34-57299 | Feb 8, 2008 | SR-FINRA-2008-004 | Financial Industry Regulatory Authority (FINRA) | 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 |
| 34-57279 | Feb 6, 2008 | SR-FINRA-2007-011 | Financial Industry Regulatory Authority (FINRA) | 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 See Also - Rel. No. 34-56480 |
| 34-57278 | Feb 6, 2008 | SR-FINRA-2007-010 | Financial Industry Regulatory Authority (FINRA) | 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 See Also - Rel. No. 34-56481 |
| 34-57257 | Feb 1, 2008 | SR-FINRA-2007-020 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material View Received Comments See Also - Rel. No. 34-57010 |
| 34-57252 | Feb 1, 2008 | SR-FINRA-2007-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA's NYSE Rules 421, 440F, and 440G |
| 34-57259 | Feb 1, 2008 | SR-FINRA-2008-001 | Financial Industry Regulatory Authority (FINRA) | 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 See Also - Rel. No. 34-57474 |
| 34-57247 | Jan 31, 2008 | SR-FINRA-2008-002 | Financial Industry Regulatory Authority (FINRA) | 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 |
| 34-57228 | Jan 29, 2008 | SR-FINRA-2007-040 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 See Also - Rel. No. 34-57050 |