Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-100458 | Jul 2, 2024 | SR-FINRA-2024-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) Comments Due: 21 days after publication in the Federal Register. Submit a Comment on SR-FINRA-2024-010
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| 34-100305 | Jun 10, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |
| 34-100296 | Jun 7, 2024 | SR-FINRA-2024-009 | Financial Industry Regulatory Authority (FINRA) | Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) Comments Due: July 5, 2024 See Also - Exhibit 5 |
| 34-100204 | May 21, 2024 | SR-FINRA-2024-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists Comments Due: June 18, 2024 View Received Comments See Also - Exhibit 5 |
| 34-100067 | May 6, 2024 | SR-FINRA-2024-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Reopen the Period by Which Certain Participants in the Maintaining Qualifications Program May Complete Their Prescribed Continuing Education Content Comments Due: May 31, 2024 |
| 34-100046 | May 1, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments See Also - Exhibit 5 |
| 34-100006 | Apr 22, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register. View Received Comments Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| 34-99991 | Apr 18, 2024 | SR-FINRA-2024-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) Comments Due: May 15, 2024 See Also - Exhibit 5 |
| 34-99988 | Apr 18, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements. Comments Due: May 15, 2024 View Received Comments |
| 34-99696 | Mar 8, 2024 | SR-FINRA-2023-010 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments |