Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-99640 | Feb 29, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: before May 17, 2024. Rebuttal Comments should be submitted by May 31, 2024. 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 |
| 34-99588 | Feb 22, 2024 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Comments Due: March 20, 2024. Rebuttal comments should be submitted on or before by April 3, 2024. View Received Comments See Also - Exhibit 4, Exhibit 5 Submit a Comment on SR-FINRA-2023-016
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| 34-99487 | Feb 7, 2024 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments |
| 34-99404 | Jan 19, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | 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 Comments Due: March 10, 2024 View Received Comments See Also - Exhibit 5 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 |
| 34-99372 | Jan 17, 2024 | SR-FINRA-2024-003 | Financial Industry Regulatory Authority (FINRA) | 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 Disa Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024. View Received Comments See Also - Exhibit 5 |
| 34-99363 | Jan 17, 2024 | SR-FINRA-2024-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspens Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024. View Received Comments See Also - Exhibit 5 |
| 34-99351 | Jan 16, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) Comments Due: February 12, 2024 View Received Comments |
| 34-99335 | Jan 11, 2024 | SR-FINRA-2023-013 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations See Also - Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024 |
| 34-99331 | Jan 11, 2024 | Financial Industry Regulatory Authority (FINRA) | Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification |
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| 34-99304 | Jan 9, 2024 | SR-FINRA-2023-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments |