Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2020-034 | Proposed Rule Change to Modify TRACE Dissemination Protocols Regarding Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions |
| SR-FINRA-2020-033 | Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks). |
| SR-FINRA-2020-032 | Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA’s Regulatory Mission |
| SR-FINRA-2020-031 | Proposed Rule Change to Adopt New Requirements for Member Inter-Dealer Quotation Systems and to Delete the Rules Related to the OTC Bulletin Board Service |
| SR-FINRA-2020-030 | Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests |
| SR-FINRA-2020-029 | Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA’s Equity Trade Reporting Facilities |
| SR-FINRA-2020-028 | Proposed Rule Change to Amend Form NMA and Form CMA to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030 |
| SR-FINRA-2020-027 | Proposed Rule Change to Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 to Permit OHO and NAC Hearings Under Those Rules to Be Conducted by Video Conference |
| SR-FINRA-2020-026 | Proposed Rule Change to adopt: (1) Temporary Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under FINRA Rule 1210 (Registration Requirements); and (2) Temporary Supplementary Material .07 (Temporary Extension of the Limited Period for Persons to Function as Operations Professionals) under FINRA Rule 1220 (Registration Categories) |
| SR-FINRA-2020-025 | Proposed Rule Change to Amend Security Futures Risk Disclosure Statement |
| SR-FINRA-2020-024 | Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules |
| SR-FINRA-2020-023 | Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
| SR-FINRA-2020-022 | Proposed Rule Change to Further Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 |
| SR-FINRA-2020-021 | Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds |
| SR-FINRA-2020-020 | Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) |
| SR-FINRA-2020-019 | Proposed Rule Change to Temporarily Extend the Time to Complete Office Inspections under FINRA Rule 3110 (Supervision) |
| SR-FINRA-2020-018 | Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
| SR-FINRA-2020-017 | Proposed Rule Change to Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020 |
| SR-FINRA-2020-016 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2020-015 | Proposed Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) |
| SR-FINRA-2020-014 | Proposed Rule Change to Amend FINRA Rule 9231 to Provide for the Compensation of All Panelists that Serve in Connection with a FINRA Disciplinary Hearing |
| SR-FINRA-2020-013 | Proposed Rule Change to Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA’s Minor Rule Violation Plan (“MRVP”) |
| SR-FINRA-2020-012 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck |
| SR-FINRA-2020-011 | Proposed Rule Change to Address Brokers with a Significant History of Misconduct |
| SR-FINRA-2020-010 | Proposed Rule Change to Provide Members with Additional Time to Comply with the Amendments Adopted by SR-FINRA-2019-014 |