| 1 2 3 4 5 6 7 8 9 10 |
| 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-2008-059
| Returned 3/24/2009- Rule change to adopt FINRA Rules 2080, 2266, 2310 and 4551 in the Consolidated FINRA Rulebook. | FINRA Rules 2080, 2266, 2310 and 4551 | Returned | No | | | FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. |
|
SR-FINRA-2009-081
| Rule change to adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook. | FINRA Rule 2261 | Pending | No | | | FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. |
|
SR-FINRA-2009-080
| Rule change to adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook. | FINRA Rule 4570 | Pending | No | | | |
|
SR-FINRA-2009-079
| Rule change to adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the consolidated FINRA rulebook. | FINRA Rule 5141 | Pending | No | | | FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. |
|
SR-FINRA-2009-077
| Rule change to amend FINRA Rules 6400, 6500 and 7700 Series to restructure quotation collection and dissemination for OTC Equity Securities. | FINRA Rule 6400, 6500, and 7700; 9217 Series, | Pending | No | | | No sooner than 60 days and no later than 365 days from Commission approval. |
|
SR-FINRA-2009-076
| Rule change to amend the FINRA Rule 9550 Series (Expedited Proceedings). | FINRA Rules 9552, 9554 and 9559 | Pending | No | | | The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. |
|
SR-FINRA-2009-075
| Rule change to amend FINRA Rules 12206, 12902, 13601 and 13601to clarify the applicability of the fee waiver provision of the postponement rule and to codify the hearing session fee for an unspecified damages claim heard by one arbitrator. | FINRA Rules 12206, 12902, 13601 and 13902 | Pending | No | | | The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. |
|
SR-FINRA-2009-074
| Rule change to amend FINRA Rule 9251 to explicitly protect from discovery those documents that are prohibited from disclosure by Federal law. | FINRA Rule 9251 | Pending | No | | | The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. |
|
SR-FINRA-2009-073
| Rule change to amend Rules 12213 and 13213 of the Customer and Industry Codes, respectively, to expand the criteria for selecting a hearing location for an arbitration proceeding. | FINRA Rules 12213 and 13213 | Pending | No | | | The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. |
|
SR-FINRA-2009-072
| Rule change to amend Rules 12307 and 13307 of the Customer and Industry Codes, respectively, to clarify the date of filing of an arbitration claim once a deficiency is corrected. | FINRA Rules 12307 and 13307 | Pending | No | | | The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. |
| 1 2 3 4 5 6 7 8 9 10 |