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Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Sort ascending Title
SR-FINRA-2021-032 Proposed Rule Change to Amend FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials)
SR-FINRA-2021-031 Proposed Rule Change to Extend the Expiration Date of Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
SR-FINRA-2021-030 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Append Modifiers to Identify Delayed Treasury Spot and Portfolio Trades when Reporting to TRACE
SR-FINRA-2021-029 Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
SR-FINRA-2021-028 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2021-027 Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2021-026 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2021-025 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Establish an Administration and Delivery Fee for the Municipal Advisor Principal Examination (Series 54 Examination)
SR-FINRA-2021-024 Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
SR-FINRA-2021-023 Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17
SR-FINRA-2021-022 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2021-021 Proposed Rule Change Extending the Expiration Dates of FINRA Rules 0180 and 4240
SR-FINRA-2021-020 Proposed Rule Change to Amend Form CMA (Continuing Membership Application Form) to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2020-011
SR-FINRA-2021-019 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-2021-018 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