Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 Submit a Comment on SR-FINRA-2023-006
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| 34-97798 | Jun 26, 2023 | SR-FINRA-2023-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA's Trading Activity Fee Comments Due: July 21, 2023 See Also - Exhibit 2a, Exhibit 2b, Exhibit 5 |
| 34-97784 | Jun 21, 2023 | SR-FINRA-2022-032 | 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 Relating to Alternative Display Facility New Entrant Comments Due: January 17, 2023 View Received Comments |
| 34-97629 | May 31, 2023 | SR-FINRA-2022-031 | 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 Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| 34-97403 | Apr 28, 2023 | SR-FINRA-2023-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 Comments Due: May 25, 2023 |
| 34-97398 | Apr 28, 2023 | SR-FINRA-2023-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) Comments Due: May 25, 2023 View Received Comments |