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| 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) |
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SR-FINRA-2013-007
| Returned 2/1/2013 - Rule change to amend FINRA Rule 8312 to permanently make publicly available in BrokerCheck information about former associated persons of a member firm who were the subject of an investment-related civil action. | FINRA Rule 8312 | Returned | No | | | The effective date will be no later than 180 days following publication of the Regulatory Notice announcing Commission approval. |
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SR-FINRA-2012-057
| Returned 1/4/13 -Rule change to amend FINRA Rule 4530 to: provide an exception for information disclosed on the Form U4; enable members to file required documents with FINRA online; and provide an exception from the rule for findings and actions by FINRA. | FINRA Rule 4530 | Returned | No | | | |
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SR-FINRA-2012-022
| Returned 5/10/12 - Rule change to amend FINRA Rule 7610A to codify the definition of and methodology for determining "attributable revenue" for purposes of calculating securities transaction credits earned by members that use the FINRA/Nasdaq TFR. | FINRA Rule 7610A | Returned | No | | | 5/2/2012 |
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SR-FINRA-2012-013
| Returned 2/15/12 - Rule change to provide a method for compensating FINRA members that may have incurred additional costs due to a system issue of the FINRA/NASDAQ Trade Reporting Facility ("FINRA/NASDAQ TRF") and OTC Reporting Facility ("ORF"). | No change to Manual | Returned | No | | | |
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SR-FINRA-2012-002
| Returned 1/13/12 - Rule change to amend FINRA Rule 7730 to establish fees in connection with two new optional Trade Reporting and Compliance Engine ("TRACE") data delivery services. | FINRA Rule 7730 | Returned | No | | | |
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SR-FINRA-2011-010
| Returned 3/3/2011 - Rule change to amend the FINRA Rule 6700 Series and FINRA Rule 7730 relating to TRACE reporting of Asset-Backed Securities. | FINRA Rule 6700 Series and 7730 | Returned | No | | | |
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SR-FINRA-2010-055
| Disapproved 2/10/11-- Rule Change to Amend FINRA Rules 6130, 6140, and 6220 to eliminate the provisions regarding the handling of stop orders, delete definitions relating to stop stock transactions and relocate the definition of "initial public offering." | FINRA Rules 6130, 6140 and 6220 | Disapproved | No | | | |
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SR-FINRA-2013-025
| Rule change to adopt FINRA Rules 3110 (Supervision) and 3120 (Supervisory Control System) to largely replace NASD Rules 3010 (Supervision) and 3012 (Supervisory Control System), respectively. | NASD IM-1000-4, NASD Rule 3010, IM-3010-1 and NASD Rule 3012 | Pending | No | | | The effective date will be no later than 365 days following Commission approval. |
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SR-FINRA-2013-024
| Rule change to amend the Discovery Guide used in customer arbitration proceedings to provide general guidance on electronic discovery issues and product cases. | No change to Manual | Pending | No | | | The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval. |
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SR-FINRA-2013-023
| Rule change to amend FINRA Rule 12403 to simplify arbitration panel selection in cases with three arbitrators. | FINRA Rules 12403, 12213, 12309, 12314, 12404, 12800, and 12903 | Pending | No | | | The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval. |
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