Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2020-009 | Proposed Rule Change to Amend FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) Concerning the Resumption of Trading Following a Level 3 Market-wide Circuit Breaker Halt |
| SR-FINRA-2020-008 | Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2020-007 | Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest |
| SR-FINRA-2020-006 | Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility |
| SR-FINRA-2020-005 | Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information |
| SR-FINRA-2020-004 | Proposed Rule Change to Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants that Use the FINRA/Nasdaq Trade Reporting Facility |
| SR-FINRA-2020-003 | Proposed Rule Change to Extend the Effective Date of SR-FINRA-2018-030 |
| SR-FINRA-2020-002 | Proposed Rule Change to Amend FINRA Rule 11900 (Clearance of Corporate Debt Securities) to Except Certain Transactions in Corporate Debt Securities |
| SR-FINRA-2020-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2019-030 | Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims |
| SR-FINRA-2019-029 | Proposed Rule Change to Amend FINRA Rule 7610A to Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants |
| SR-FINRA-2019-028 | Proposed Rule Change to Amend FINRA Rule 6750 (Dissemination of Transaction Information) |
| SR-FINRA-2019-027 | Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive |
| SR-FINRA-2019-026 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2019-025 | Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2019-024 | Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility |
| SR-FINRA-2019-023 | Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) |
| SR-FINRA-2019-022 | Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) |
| SR-FINRA-2019-021 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2019-020 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2019-019 | Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website |
| SR-FINRA-2019-018 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2019-017 | Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) |
| SR-FINRA-2019-016 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2019-015 | Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC |