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 |
|---|---|---|---|---|
| 34-99204 | Dec 19, 2023 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments |
| 34-99075 | Dec 4, 2023 | SR-FINRA-2023-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules 15c6-1 and 15c6-2 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Two Business Days after the Tr Comments Due: December 29, 2023 See Also - Exhibit 5 Submit a Comment on SR-FINRA-2023-017
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| 34-98977 | Nov 17, 2023 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications Comments Due: December 15, 2023 View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |
| 34-98982 | Nov 17, 2023 | SR-FINRA-2023-007 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) View Received Comments |
| 34-98980 | Nov 17, 2023 | SR-FINRA-2023-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments Due: December 15, 2023 View Received Comments |
| 34-98859 | Nov 3, 2023 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees Comments Due: November 30, 2023 View Received Comments See Also - Exhibit 5 |
| 34-98850 | Nov 3, 2023 | SR-FINRA-2023-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1 Comments Due: November 30, 2023 See Also - Exhibit 3, Exhibit 5 |
| 34-98703 | Oct 6, 2023 | SR-FINRA-2023-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 Comments Due: November 3, 2023 View Received Comments See Also - Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |
| 34-98628 | Sep 28, 2023 | SR-FINRA-2023-010 | Financial Industry Regulatory Authority (FINRA) | Order Instituting 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 |
| 34-98560 | Sep 27, 2023 | SR-FINRA-2023-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu Comments Due: October 24, 2023 |