Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-100628 | Jul 31, 2024 | SR-BOX-2024-03, SR-BX-2024-002, SR-C2-2024-002, SR-CBOE-2024-003, SR-CboeBYX-2024-002, SR-CboeBZX-2024-004, SR-CboeEDGA-2024-002, SR-CboeEDGX-2024-005, SR-EMERALD-2024-01, SR-FINRA-2024-002, SR-GEMX-2024-02, SR-IEX-2024-01, SR-ISE-2024-02, SR-LTSE-2024-02, SR-MEMX-2024-01, SR-MIAX-2024-02, SR-MRX-2024-01, SR-NASDAQ-2024-001, SR-NYSE-2024-03, SR-NYSEAMER-2024-02, SR-NYSEARCA-2024-02, SR-NYSECHX-2024-02, SR-NYSENAT-2024-01, SR-PEARL-2024-01, SR-PEARL-2024-02, SR-Phlx-2024-01 | BOX Exchange LLC (BOX), Nasdaq BX, Inc. (BX), Cboe C2 Exchange, Inc. (C2), Cboe Exchange, Inc. (CBOE), Cboe BYX Exchange, Inc. (CboeBYX), Cboe BZX Exchange, Inc. (CboeBZX), Cboe EDGA Exchange, Inc. (CboeEDGA), Cboe EDGX Exchange, Inc. (CboeEDGX), MIAX Emerald, LLC (EMERALD), Financial Industry Regulatory Authority (FINRA), Nasdaq GEMX, LLC (GEMX), Investors Exchange LLC (IEX), Nasdaq ISE, LLC (ISE), Long-Term Stock Exchange, Inc. (LTSE), MEMX LLC (MEMX), Miami International Securities Exchange, LLC (MIAX), Nasdaq MRX, LLC (MRX), The Nasdaq Stock Market LLC (NASDAQ), New York Stock Exchange LLC (NYSE), NYSE American LLC (NYSEAMER), NYSE Arca (NYSEARCA), NYSE Chicago, Inc. (NYSECHX), NYSE National, Inc. (NYSENAT), MIAX PEARL, LLC (PEARL), Nasdaq PHLX LLC (Phlx) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan G View Received Comments |
| 34-100627 | Jul 31, 2024 | SR-FINRA-2024-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Go View Received Comments Submit a Comment on Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change |
| 34-100594 | Jul 25, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6730 to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: 21 days after publication in the Federal Register. 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 |
| 34-100561 | Jul 19, 2024 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers and View Received Comments See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Meredith Cordisco, Associate General Counsel, FINRA, dated July 26, 2024 Submit a Comment on SR-FINRA-2023-016
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| 34-100555 | Jul 18, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on 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 Minu |
| 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. |
| 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 |