Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2021-013 Proposed Rule Change to Amend the Supplemental Inventory Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2021-012 Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2021-011 Proposed Rule Change to Clarify Rule 1011(p) (Specified Risk Event)
SR-FINRA-2021-010 Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2021-009 Proposed Rule Change to Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2021-008 Proposed Rule Change Relating to Security-Based Swaps
SR-FINRA-2021-007 Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service
SR-FINRA-2021-006 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
SR-FINRA-2021-005 Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026 and SR-FINRA-2020-043
SR-FINRA-2021-004 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2021-003 Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form
SR-FINRA-2021-002 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2021-001 Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
SR-FINRA-2020-046 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2020-045 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
SR-FINRA-2020-044 Proposed Rule Change to Amend FINRA Rule 7610A to Modify Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants
SR-FINRA-2020-043 Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026
SR-FINRA-2020-042 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments in SR-FINRA-2020-15 and SR-FINRA-2020-027
SR-FINRA-2020-041 Proposed Rule Change to Address Firms with a Significant History of Misconduct
SR-FINRA-2020-040 Proposed Rule Change to Adopt Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision).
SR-FINRA-2020-039 Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and Disclosure
SR-FINRA-2020-038 Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings
SR-FINRA-2020-037 Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Removal of NAC Members with an Existing Provision in the FINRA By-Laws Related to the Removal of FINRA Governors
SR-FINRA-2020-036 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2020-035 Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees