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Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
First Quarter
FINRA File Number List for 2012
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| First Quarter |
SR-FINRA-2012-007 |
| 34-66328 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-FINRA-2012-007
|
SR-FINRA-2012-008 |
| 34-66287 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2012-008
|
SR-FINRA-2011-059 |
| 34-66279 |
Jan. 30, 2012 |
Order Approving Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook
See also: Notice: Rel. No. 34-65645
|
SR-FINRA-2011-071 |
| 34-66276 |
Jan. 30, 2012 |
Order Granting Approval of a Proposed Rule Change to Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities
See also: Notice: Rel. No. 34-66050
|
SR-FINRA-2012-006 |
| 34-66270 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: February 24, 2012
Submit comments on SR-FINRA-2012-006
|
SR-FINRA-2012-005 |
| 34-66254 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: February 22, 2012
Submit comments on SR-FINRA-2012-005
|
SR-FINRA-2012-003 |
| 34-66244 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due: February 22, 2012
Submit comments on SR-FINRA-2012-003
|
SR-FINRA-2012-001 |
| 34-66220 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: February 21, 2012
Submit comments on SR-FINRA-2012-001
|
SR-FINRA-2011-057 |
| 34-66203 |
Jan. 20, 2012 |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
Comments due: February 27, 2012
Rebuttal comments due: March 12, 2012
See also: Notice: Rel. No. 34-65585
Submit comments on SR-FINRA-2012-057
|
SR-FINRA-2011-058 |
| 34-66168 |
Jan. 17, 2012 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: February 14, 2012
Rebuttal comments due: February 28, 2012
See also: Notice: Rel. No. 34-65568
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-058
|
SR-FINRA-2012-004 |
| 34-66156 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 10, 2012
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-004
|
SR-FINRA-2011-069 |
| 34-66149 |
Jan. 13, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
See also: Notice: Rel. No. 34-65877
Comments received are available for this proposal.
|
SR-FINRA-2011-075 |
| 34-66109 |
Jan. 5, 2012 |
Notice of Filing of Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes to Preclude Collective Action Claims from Being Arbitrated
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-075
|
SR-FINRA-2011-044 |
| 34-66096 |
Jan. 4, 2012 |
Order Approving Proposed Rule Change Relating to FINRA's Code of Procedure
See also: Notice: Rel. No. 34-65787
|
SR-FINRA-2011-073 |
| 34-66080 |
Jan. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
Comments due: January 30, 2012
Comments received are available for this proposal.
Submit comments on SR-FINRA-2011-073
|
| Release No. |
Date |
Details |
SR-FINRA-2012-008 |
| 34-66287 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2012-008
|
SR-FINRA-2012-007 |
| 34-66328 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2012-007
|
SR-FINRA-2012-006 |
| 34-66270 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
Comments due: February 24, 2012
Submit comments on SR-FINRA-2012-006
|
SR-FINRA-2012-005 |
| 34-66254 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Comments due: February 22, 2012
Submit comments on SR-FINRA-2012-005
|
SR-FINRA-2012-004 |
| 34-66156 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend to January 17, 2013 the implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 10, 2012
Comments received are available for this proposal.
Submit comments on SR-FINRA-2012-004
|
SR-FINRA-2012-003 |
| 34-66244 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
Comments due: February 22, 2012
Submit comments on SR-FINRA-2012-003
|
SR-FINRA-2012-001 |
| 34-66220 |
Jan. 24, 2012 |
Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend FINRA Rule 4560 (Short-Interest Reporting)
Comments due: February 21, 2012
Submit comments on SR-FINRA-2012-001
|
http://www.sec.gov/rules/sro/finra.shtml
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