FINRA Rule Filings

SR-FINRA-2012-024

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 8 May 2012 13:12:00 EDT

Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)

SR-FINRA-2012-023

finracorporatenotification@finra.org (FINRA Corporate Notification) — Wed, 2 May 2012 16:32:00 EDT

Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities

SR-FINRA-2012-021

finracorporatenotification@finra.org (FINRA Corporate Notification) — Mon, 2 Apr 2012 16:24:00 EDT

Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions

SR-FINRA-2012-020

finracorporatenotification@finra.org (FINRA Corporate Notification) — Fri, 2 Mar 2012 12:19:00 EST

Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced

SR-FINRA-2012-019

finracorporatenotification@finra.org (FINRA Corporate Notification) — Wed, 29 Feb 2012 17:31:00 EST

Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council

SR-FINRA-2012-017

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 28 Feb 2012 16:05:00 EST

Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)

SR-FINRA-2012-018

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 28 Feb 2012 16:04:00 EST

Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA

SR-FINRA-2012-016

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 28 Feb 2012 13:25:00 EST

Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems

SR-FINRA-2012-015

finracorporatenotification@finra.org (FINRA Corporate Notification) — Thu, 23 Feb 2012 16:28:00 EST

Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)

SR-FINRA-2012-014

finracorporatenotification@finra.org (FINRA Corporate Notification) — Thu, 23 Feb 2012 16:27:00 EST

Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)

SR-FINRA-2012-012

finracorporatenotification@finra.org (FINRA Corporate Notification) — Thu, 9 Feb 2012 15:52:00 EST

Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000

SR-FINRA-2012-011

finracorporatenotification@finra.org (FINRA Corporate Notification) — Thu, 9 Feb 2012 15:43:00 EST

Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster

SR-FINRA-2012-009

finracorporatenotification@finra.org (FINRA Corporate Notification) — Fri, 3 Feb 2012 11:09:00 EST

Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States

SR-FINRA-2012-008

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 31 Jan 2012 17:33:00 EST

Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities.

SR-FINRA-2012-007

finracorporatenotification@finra.org (FINRA Corporate Notification) — Mon, 30 Jan 2012 15:04:00 EST

Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules.

SR-FINRA-2012-006

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 24 Jan 2012 12:32:00 EST

Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot

SR-FINRA-2012-005

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 24 Jan 2012 12:30:00 EST

Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions

SR-FINRA-2012-004

finracorporatenotification@finra.org (FINRA Corporate Notification) — Fri, 13 Jan 2012 15:08:00 EST

Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)

SR-FINRA-2012-003

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 10 Jan 2012 16:09:00 EST

Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019

SR-FINRA-2012-001

finracorporatenotification@finra.org (FINRA Corporate Notification) — Tue, 10 Jan 2012 00:00:00 EST

Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting)