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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending Title
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
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)