FINRA Rule Filing Status Report

The FINRA Rule Filing Status Report provides firms with a comprehensive list of FINRA rule filings currently pending with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months. FINRA Dispute Resolution rule filings are currently not included in this report and may be found here.

Click on the specific rule filing number to view more detailed information. Note that there may be a short delay (up to 2 business days) between the filing of a rule change with the SEC and the posting of the rule filing on FINRA's Web site. As a result, during this time period, a rule change may be referenced on the Rule Filing Status Report but not yet appear elsewhere on the FINRA site. For questions or comments regarding the FINRA Rule Filing Status Report, please use this feedback form.

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1 2 3 4 5 6 7 8 Rule Filing Description Rules Affected Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date Implementation Date(s) SR-FINRA-2008-047 Rule change to amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to raise the amount in controversy heard by a single chair-qualified arbitrator to $100,000. NASD Rule 12401 and 13401 Pending Yes 10/23/2008   The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2008-046 Rule change to amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board. FINRA Regulation By-Laws Pending Yes 10/21/2008   The effective date of the proposed rule change will be the date of Commission approval. SR-FINRA-2008-045 Rule change to amend the FINRA Rule 9520 Series regarding eligibility procedures for persons subject to certain disqualifications. FINRA Rule 9520 Series Pending No     The effective date will be 90 days following Commission approval of the proposed rule change. SR-FINRA-2008-044 Rule change to amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to address the supervision of market letters. NASD Rules 2210, 2211; NYSE Rule 472 Pending Yes 10/22/2008   The implementation date will be the date FINRA publishes the Regulatory Notice announcing Commission approval. SR-FINRA-2008-032 Rule change to adopt FINRA Rules 2350 through 2359 (Trading in Index Warrants, Currency Index Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook. FINRA Rules 2350 Series, 2360 and 2370 Pending Yes 9/5/2008   FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following Commission approval. SR-FINRA-2008-031 Rule change to amend the Uniform Submission Agreement. NASD Rule 12000 and 13000 Series Pending Yes 8/6/2008   The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2008-024 Rule change to amend the Discovery Guide to update the Document Production lists. No change to the Manual Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2008-020 Rule change to adopt new FINRA Rule 5122 to impose requirements regarding Member Private Offerings. FINRA Rule 5122 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval SR-FINRA-2008-019 Rule change to amend certain provisions of Rule 2821. NASD Rule 2821 Pending Yes 7/1/2008   The effective date will be 120 days following publication of the Regulatory Notice announcing Commission approval SR-FINRA-2008-011 Rule change to amend Trade Reporting structure and require rubmission of Non-Tape Reports to identify other members for agency and riskless principal transactions. NASD Rules 4632, 4632A, 4632C, 4632E, 6110, 6130, 6620, 6732, 6910, 6920, 6110C, 6130C, 6110E and 6130E Pending Yes 5/15/2008   FINRA will announce the operative date of the proposed rule change on its website. 1 2 3 4 5 6 7 8

The information presented in this report is deemed reliable and accurate; however, while FINRA will make every best effort to ensure the accuracy of information presented herein, FINRA is not responsible for any inaccuracies between this report and information filed with the SEC. Use of this status report does not guarantee compliance with regulatory requirements nor create a safe harbor from regulatory responsibility.