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Other Rule Filings Incorporated By Reference

Regulation

Other Rule Filings Incorporated by Reference

New York Stock Exchange LLC ("NYSE"), NYSE American LLC ("NYSE American"), NYSE Arca, Inc. ("NYSE Arca"), NYSE National, Inc. (“NYSE National”) and NYSE Chicago, Inc. ("NYSE Chicago") (collectively, the "Exchanges") have incorporated certain rules by reference from the rulebook of the Financial Industry Regulatory Authority, Inc. (“FINRA”). As such, the Exchanges will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated rules. Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may become effective upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. The approval orders and published notices for immediately effective filings are provided where available herein.

FINRA Rule Filings to Amend FINRA Code of Arbitration

SR-FINRA-2020-035
Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees.

SR-FINRA-2020-030
Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests.

SR-FINRA-2020-005
Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information

SR-FINRA-2019-030
Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims.

SR-FINRA-2018-026
Proposes rule change to amend FINRA Rule 12214 and 13214 to provide that FINRA will pay each arbitrator a $200 honorarium to decide without a hearing session a contested subpoena request or a contested order for production or appearance.

SR-FINRA-2017-009
Proposed rule change to amend the Customer and Industry Codes to provide that the ODR Director will send the list or lists generated by the Neutral List Selection System to all parties at the same time, within approximately 30 days after the last answer is due, regardless of the parties’ agreement to extend any answer due date.

SR-FINRA-2016-033
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

SR-FINRA-2016-030
Proposed Rule Change Relating to Motions to Dismiss in Arbitration

SR-FINRA-2016-029
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation

SR-FINRA-2016-022
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.

SR-FINRA-2016-015
Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.

SR-FINRA-2015-034
Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.

SR-FINRA-2015-003 Approval Order
Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing

SR-FINRA-2014-045 Notice of Filing and Immediate Effectiveness
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

SR-FINRA-2014-028 Approval Order
Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

SR-FINRA-2014-026 Approval Order
Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees

SR-FINRA-2014-008 Approval Order
Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution

SR-FINRA-2014-005 Approval Order
Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding

SR-FINRA-2013-024
Proposed rule change to amend the Discovery Guide used in customer arbitration proceedings.  Approval Order

SR-FINRA-2013-023
Proposed rule change to amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to simplify arbitrator selection in cases with three arbitrators.  Approval Order

SR-FINRA-2013-003
Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition. Approval Order

SR-FINRA-2012-041
Proposed rule change to amend FINRAs Customer and Industry Codes of Arbitration Procedure relating to subpoenas and to arbitrator authority to direct appearances of associated person witnesses and production of documents without subpoenas. Approval Order

SR-FINRA-2012-012
Proposed Rule Change to Amend FINRAs Customer and Industry Codes of Arbitration Procedures to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 Approval Order

SR-FINRA-2011-075
Proposed Rule Change to Amend Rule 132004 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code Approval Order

SR-FINRA-2011-067
Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration Approval Order

SR-FINRA-2011-006
Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice Approval Order

SR-FINRA-2011-005
Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes Approval Order

SR-FINRA-2010-053
Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (Customer Code), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases. Approval Order

SR-FINRA-2010-050
The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims Notice of Filing and Immediate Effectiveness

SR-FINRA-2010-035
Proposed Rule Change to Amend the Discovery Guide and to Make Other Conforming Changes to Rules in the Arbitration Codes Approval Order

SR-FINRA-2010-022 Approval Order
Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure

SR-FINRA-2010-006
The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 12602 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (together, "Codes") to provide that a non-party witness may be represented by an attorney at an arbitration hearing while the witness is testifying. Approval Order

SR-FINRA-2009-075
Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes Approval Order

SR-FINRA-2009-073
Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding Approval Order

SR-FINRA-2009-072
Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected Approval Order

SR-FINRA-2009-041
Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim. Approval Order

SR-FINRA-2009-026
The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend various rules of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code") (collectively "Codes") to correct typographical errors and implement other non-substantive technical changes. Notice of Filing and Immediate Effectiveness

SR-FINRA-2009-015
The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to: adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes ("Industry Code") to establish procedures to expedite the administration of promissory note cases; and amend Rules 13214 and 13600 of the Industry Code to make conforming changes.  Approval Order

SR-FINRA-2009-013
The Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rules 12206 and 13206 of the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("Industry Code"), respectively, to clarify that the rules toll the applicable statutes of limitation when a person files an arbitration claim with FINRA. Approval Order

SR-FINRA-2008-063
Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook. Notice of Filing and Immediate Effectiveness

SR-FINRA-2008-051
Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties. Approval Order

SR-FINRA-2008-047
Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000. Approval Order

FINRA Rule Filings to Amend FINRA Rule 2111 – Suitability

NYSE National Rule 11.2111 incorporates by reference FINRA Rule 2111

SR-FINRA-2020-007
FINRA is filing proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and Capital Acquisition Broker (CAB) Rule 211 (Suitability). The proposed rule change would: (1) amend the FINRA and CAB suitability rules to state that the rules do not apply to recommendations subject to Regulation Best Interest (“Reg BI”),2 and to remove the element of control from the quantitative suitability obligation; and (2) conform the rules governing non-cash compensation to Reg BI’s limitations on sales contests, sales quotas, bonuses and non-cash compensation.

Amendment 1
Approval Order

FINRA Rule Filings to Amend FINRA Rule 2210 – Communications with the Public

NYSE National Rule 11.2210 incorporates FINRA Rule 2210 by reference.

SR-FINRA-2016-021
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports

SR-FINRA-2015-050
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

SR-FINRA-2015-022
Proposed Rule Change. to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites

SR-FINRA-2014-045
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

SR-FINRA-2014-012
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)

FINRA Rule Filings to Amend FINRA Rule 2232 – Customer Confirmations

NYSE National Rule 11.2232 incorporates by reference FINRA Rule 2232.

SR-FINRA-2016-032
FINRA is filing a proposed rule change to amend FINRA Rule 2232 (Customer Confirmations) to require members to disclose additional pricing information on retail customer confirmations relating to transactions in fixed income securities.

Amendment 1
Approval Order

FINRA Rule Filings to Amend FINRA Rule 3310 – Anti-Money Laundering Compliance Program

NYSE National Rule 11.3310 incorporates by reference FINRA Rule 3310.

SR-FINRA-2018-016
FINRA is filing a proposed rule change to amend FINRA Rule 3310 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network’s (“FinCEN”) adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions (“CDD Rule”). Specifically, the proposed amendments would conform FINRA Rule 3310 to the CDD Rule’s amendments to the minimum regulatory requirements for member firms’ anti-money laundering (“AML”) compliance programs by requiring such programs to include risk-based procedures for conducting ongoing customer due diligence. This ongoing customer due diligence element for AML programs includes: (1) understanding the nature and purpose of customer relationships for the purpose of developing a customer risk profile; and (2) conducting ongoing monitoring to identify and report suspicious transactions and, on a risk basis, to maintain and update customer information. 

Notice

FINRA Rule Filings to Amend FINRA Rule 5310 – Best Execution and Interpositioning

Rule 11.5320 incorporates FINRA Rule 5310 by reference.

SR-FINRA-2019-009
FINRA is filing a proposed rule change to adopt the following NASD Rules as FINRA Rules in the consolidated FINRA rulebook without any substantive changes: (1) the NASD Rule 1010 Series (Membership Proceedings) into the FINRA Rule 1000 Series; (2) NASD Rule 1090 (Foreign Members) as FINRA Rule 1021; (3) NASD Rule 2340 (Customer Account Statements) as FINRA Rule 2231; (4) NASD Rule 2510 (Discretionary Accounts) as FINRA Rule 3260; (5) NASD Rule 3140 (Approval of Change in Exempt Status Under SEA Rule 15c3-3) as FINRA Rule 1020; (6) NASD Rule 3150 (Reporting Requirements for Clearing Firms) as FINRA Rule 4540; and (7) NASD Rule IM-3150 (Exemptive Relief) as Supplementary Material to FINRA Rule 4540. In addition, the proposed rule change would adopt the remaining Incorporated NYSE Rules and Interpretations in the consolidated FINRA rulebook without any substantive changes as a separate Temporary Dual FINRA-NYSE Member Rule Series. FINRA also proposes to delete four Incorporated NYSE Rule definitions (Incorporated NYSE Rules - Rule 4 (“Stock”), Rule 5 (“Bond”), Rule 9 (“Branch Office Manager”), and Rule 12 (“Business Day”)) that are not used in the FINRA rule set as well as Incorporated NYSE Rule 375 and related Interpretation. Finally, the proposed rule change would update cross-references and make other non-substantive changes within FINRA rules, due in part to the adoption of new consolidated FINRA rules.

Notice

FINRA Rule Filings to Amend FINRA Rule 7440 – Recording of Order Information

NYSE Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) incorporates requirement to uniquely identify information barriers as prescribed in FINRA Rule 7440(b)(19), which is incorporated by reference in NYSE Rule 7440.

NYSE Rule 7440 (Recording of Order Information) incorporates FINRA Rule 7440 by reference.

NYSE American Rule 5320 - Equities (Prohibition Against Trading Ahead of Customer Orders) incorporates requirement to uniquely identify information barriers as prescribed in FINRA Rule 7440(b)(19), which is incorporated by reference in NYSE American Rule 7440 - Equities.
NYSE American Rule 7440 - Equities (Recording of Order Information) incorporates FINRA Rule 7440 by reference.

NYSE Arca Rule 9.5320-E (Prohibition Against Trading Ahead of Customer Orders) incorporates requirement to uniquely identify information barriers as prescribed in FINRA Rule 7440(b)(19), which is incorporated by reference in Rule 6.7440-E
NYSE Arca Rule 6.7440-E (Recording of Order Information) incorporates FINRA Rule 7440 by reference.

NYSE National Rule 11.5320 incorporates the requirement to uniquely identify information barriers as prescribed in FINRA Rule 7440(b)(19), which is incorporated by reference in Rule 6.7440.
NYSE National Rule 6.7440 (Recording of Order Information) incorporates FINRA Rule 7440 by reference.

NYSE Chicago Rule 6.7440. Recording of Order Information incorporates FINRA Rule 7440 by reference.

SR-FINRA-2016-026
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing a proposed rule change to update cross-references and make other non-substantive changes within FINRA rules, due in part to the adoption of a new consolidated FINRA rule. Notice of Filing of Immediate Effectiveness

SR-FINRA-2016-006
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing a proposed rule change to amend FINRA Rules 7410 and 7440 to require FINRA members to identify on their Order Audit Trail System (“OATS”) reports the identity of certain broker-dealers that are not FINRA members when the member has received an order from such a broker-dealer.  Approval Order

FINRA Rule Filings to Amend FINRA Rule 7450 – Order Data Transmission Requirements

NYSE Chicago Rule 6.7450 incorporates FINRA Rule 7450 by reference.

SR-FINRA-2011-063
FINRA is filing a proposed rule change to (i) amend Rules 5320 and 7440 to require that members report to the Order Audit Trail System (“OATS”) information barriers put into place by the member in reliance on Supplementary Material .02 to Rule 5320; (ii) amend Rule 7440 to require that members report customer instructions regarding the display of a customer’s limit order in any OATS-eligible security; and (iii) amend Rule 7450 to codify the specific time OATS reports must be transmitted to FINRA.  Approval Order