Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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SR-FINRA-2021-018 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
SR-FINRA-2021-017 | Proposed Rule Change Relating to the Retirement of FINRA’s Order Audit Trail System |
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). |