- Most Recent FINRA Proposed or Adopted Rules
- 2011
- 2010
- Proposed Rule Change to Implement Revolving Door Restrictions
- Robert Charles Pollock, Registered Representative, Palm Harbor, Florida
- Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
- Operations Professionals - FINRA Licensed Broker/Dealers
- James Patrick Cross (CRD #1946579, Registered Representative, Nossegem, Belgium)
- Guidance on Social Networking Websites and Business Communications
- Proposed Rule Change to Amend Definitions in FINRA By-laws.
- Amendment to Definitions in FINRA By-Laws
- 2012
- FINRA Rule Relating to an Account Executive Borrowing From or Loaning Money to a Client
- Selling Away - A Prohibited Activity - How to Seek to Recover Your Losses
- Proposed Rule Change to Mediator Selection Process
- Proposed Rule Change to Increase Amend FINRA's Customer and Industry Codes of Arbitration Procedures to Raise Limits of Simplified Arbitration from $25,000 to $50,000
- Increase Limits to $50,000
- Proposed Rule Change to Amend Portions of FINRA's Code of Procedure
- Notice Approving Proposed Rule Change
- Proposed or Recently Adopted FINRA Rule Changes
