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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending Title
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
SR-FINRA-2020-037 Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Removal of NAC Members with an Existing Provision in the FINRA By-Laws Related to the Removal of FINRA Governors
SR-FINRA-2020-036 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2020-035 Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
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