Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
---|---|
SR-FINRA-2021-016 | Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults) |
SR-FINRA-2021-015 | Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) |
SR-FINRA-2021-014 | Proposed Rule Change Relating to Members’ Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) |
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 |