Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-98488 | Sep 22, 2023 | Financial Industry Regulatory Authority (FINRA) | Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc. See Also - FINRA Incoming Fingerprint Plan Cover Letter |
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| 34-98349 | Sep 11, 2023 | SR-FINRA-2023-011 | Financial Industry Regulatory Authority (FINRA) | Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: October 6, 2023 View Received Comments Submit a Comment on SR-FINRA-2023-011
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| 34-98317 | Sep 7, 2023 | SR-FINRA-2022-033 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Indepen |
| 34-98212 | Aug 24, 2023 | SR-FINRA-2022-032 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: January 17, 2023 View Received Comments See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Faisal Sheikh, Assistant General Counsel, FINRA, dated August 25, 2023 |
| 34-98047 | Aug 2, 2023 | SR-FINRA-2022-031 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| 34-98046 | Aug 2, 2023 | SR-FINRA-2023-007 | 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 Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA View Received Comments |
| 34-98029 | Jul 31, 2023 | SR-FINRA-2023-008 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference |
| 34-98003 | Jul 27, 2023 | SR-FINRA-2021-010 | Financial Industry Regulatory Authority (FINRA) | Order Setting Aside Action by Delegated Authority and Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant |
| 34-97898 | Jul 13, 2023 | SR-FINRA-2023-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments See Also - Exhibit 5 |
| 34-97839 | Jul 5, 2023 | SR-FINRA-2023-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINR Comments Due: 21 days after publication in the Federal Register View Received Comments |