Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-56742 | Nov 5, 2007 | SR-FINRA-2007-008 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports See Also - Rel. No. 34-56585 |
| 34-56709 | Oct 26, 2007 | SR-FINRA-2007-007 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of Proposed Rule Change To Exempt From TRACE Reporting Transactions in TRACE-Eligible Securities Resulting From Certain Derivative-Related Transactions See Also - Rel. No. 34-56439 |
| 34-56682 | Oct 22, 2007 | SR-FINRA-2007-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to NASD Rule 3210 in Light of Amendments to the SEC Regulation SHO Delivery Requirements |
| 34-56677 | Oct 19, 2007 | SR-FINRA-2007-005 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval 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 See Also - Rel. No. 34-56373 |
| 34-56669 | Oct 17, 2007 | SR-FINRA-2007-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA |
| 34-56644 | Oct 11, 2007 | SR-FINRA-2007-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Closing of the NASD/BSE Trade Reporting Facility |
| 34-56615 | Oct 4, 2007 | SR-FINRA-2007-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and To Require Members and Persons Associated With a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.org |
| 34-56585 | Oct 1, 2007 | SR-FINRA-2007-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) To Exempt Locations That Solely Conduct Final Approval of Research Reports View Received Comments See Also - Rel. No. 34-56742 |
| 34-56571 | Sep 28, 2007 | SR-FINRA-2007-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to the Reporting of Foreign Equity Securities to the Order Audit Trail System See Also - Rel. No. 34-56199 |
| 34-56491 | Sep 21, 2007 | SR-FINRA-2007-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Changes in the Functionality of the NASD/NYSE Trade Reporting Facility |