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Proposed Rule Change Relating to District Committee Structure and Governance
Posted: May 18, 2018, 4:00 am
Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
Posted: May 17, 2018, 4:00 am
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
Posted: May 4, 2018, 4:00 am
Proposed Rule Change Relating to Statutory Disqualification Application Fees
Posted: May 1, 2018, 4:00 am
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Posted: April 20, 2018, 4:00 am
Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
Posted: April 20, 2018, 4:00 am
Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Posted: April 20, 2018, 4:00 am
Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Posted: April 16, 2018, 4:00 am

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq, Inc. (“Nasdaq”). The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide FINRA members with another mechanism for reporting over-the-counter (“OTC”) trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements.

Posted: April 10, 2018, 4:00 am
Proposed Rule Filing Relating to Simplified Arbitration
Posted: January 30, 2018, 5:00 am
 

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