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 |
|---|---|---|---|---|
| 34-96798 | Feb 3, 2023 | SR-FINRA-2022-015 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Submit a Comment on SR-FINRA-2022-015
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| 34-96746 | Jan 25, 2023 | SR-FINRA-2023-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 Comments Due: February 21, 2023 |
| 34-96699 | Jan 18, 2023 | SR-FINRA-2022-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on 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) Comments Due: December 27, 2022 View Received Comments |
| 34-96607 | Jan 6, 2023 | SR-FINRA-2022-033 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change 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 |
| 34-96550 | Dec 20, 2022 | SR-FINRA-2022-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: January 17, 2023 View Received Comments See Also - Exhibit 3 |
| 34-96520 | Dec 16, 2022 | SR-FINRA-2022-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) Comments Due: January 12, 2023 |
| 34-96415 | Nov 30, 2022 | SR-FINRA-2022-031 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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) Comments Due: December 27, 2022 View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 3, Exhibit 5 |
| 34-96298 | Nov 10, 2022 | SR-FINRA-2022-024 | 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 Modify the Current Process Relating to the Expungement of Customer Dispute Information Comments Due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96297 | Nov 10, 2022 | SR-FINRA-2022-021 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) Comments Due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96279 | Nov 9, 2022 | SR-FINRA-2022-025 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |