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 ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-57077 | Dec 31, 2007 | SR-FINRA-2007-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 55 Examination Program |
| 34-57076 | Dec 31, 2007 | SR-FINRA-2007-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 42 Examination Program |
| 34-57050 | Dec 27, 2007 | SR-FINRA-2007-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 View Received Comments See Also - Rel. No. 34-57228 |
| 34-57045 | Dec 27, 2007 | SR-FINRA-2007-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA's New York Stock Exchange Rule 409(f) |
| 34-57033 | Dec 21, 2007 | SR-FINRA-2007-036 | Financial Industry Regulatory Authority (FINRA) | Notice for Securities Industry Registration ("Form U5") and the Uniform Branch Office Form ("Form BR") |
| 34-57020 | Dec 20, 2007 | SR-FINRA-2007-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA View Received Comments See Also - Rel. No. 34-59905 |
| 34-57010 | Dec 20, 2007 | SR-FINRA-2007-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material View Received Comments See Also - Rel. No. 34-57257 |
| 34-56936 | Dec 10, 2007 | SR-FINRA-2007-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA's NYSE Rule 342.13 and the General Securities Principal Examination |
| 34-56822 | Nov 20, 2007 | SR-FINRA-2007-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146 View Received Comments |
| 34-56751 | Nov 6, 2007 | SR-FINRA-2007-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to NYSE Rule 2 |