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 |
|---|---|---|---|---|
| 34-97291 | Apr 12, 2023 | SR-FINRA-2022-033 | 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 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 Independent Counsel Lowenstein Sandler LLP Comments Due: February 2, 2023 View Received Comments Submit a Comment on SR-FINRA-2022-033
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| 34-97294 | Apr 12, 2023 | SR-FINRA-2022-024 | 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 Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure Comments Due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-97237 | Mar 31, 2023 | SR-FINRA-2023-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) Comments Due: 21 days after publication in the Federal Register View Received Comments |
| 34-97195 | Mar 24, 2023 | SR-FINRA-2022-032 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments |
| 34-97184 | Mar 22, 2023 | SR-FINRA-2023-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1240.01 To Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program Comments Due: 21 days after publication in the Federal Register |
| 34-97181 | Mar 21, 2023 | SR-FINRA-2023-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Duplicative Requirements Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-97104 | Mar 10, 2023 | SR-FINRA-2023-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination Comments Due: 21 days after publication in the Federal Register |
| 34-97062 | Mar 7, 2023 | SR-FINRA-2023-002 | Financial Industry Regulatory Authority (FINRA) | 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: 21 days after publication in the Federal Register |
| 34-97039 | Mar 3, 2023 | SR-FINRA-2022-031 | Financial Industry Regulatory Authority (FINRA) | Order Routing Information for OTC Equity Securities) Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register View Received Comments |
| 34-96864 | Feb 9, 2023 | SR-FINRA-2022-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: January 17, 2023 View Received Comments |