Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2024-004 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
SR-FINRA-2024-003 Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment
SR-FINRA-2024-002 Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail
SR-FINRA-2024-001 Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
SR-FINRA-2023-017 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
SR-FINRA-2023-016 Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers
SR-FINRA-2023-015 Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
SR-FINRA-2023-014 Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Waiver of the New Member Application Fee for Firms that Must Become FINRA Members Due to Amended Exchange Act Rule 15b9-1
SR-FINRA-2023-013 Proposed Rule Change to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
SR-FINRA-2023-012 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 include calendar year 2024
SR-FINRA-2023-011 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2023-010 Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2023-009 Proposed Rule Change to Amend FINRA’s Trading Activity Fee
SR-FINRA-2023-008 Proposed Rule Change to Allow for Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
SR-FINRA-2023-007 Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
SR-FINRA-2023-006 Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
SR-FINRA-2023-005 Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
SR-FINRA-2023-004 Proposed Revisions to the Content Outline and Selection Specifications for the Research Analyst (Series 86/87) Exam Program
SR-FINRA-2023-003 Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
SR-FINRA-2023-002 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2023-001 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)
SR-FINRA-2022-033 Proposed Rule Change to Amend the Codes of Arbitration Procedure
SR-FINRA-2022-032 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2022-031 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)
SR-FINRA-2022-030 Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17