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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending Title
SR-FINRA-2018-041 Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2018-040 Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2018-039 Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)
SR-FINRA-2018-037 Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
SR-FINRA-2018-036 Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
SR-FINRA-2018-035 Proposed Rule Change to Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SR-FINRA-2018-034 Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
SR-FINRA-2018-033 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
SR-FINRA-2018-032 Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
SR-FINRA-2018-031 Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
SR-FINRA-2018-030 Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
SR-FINRA-2018-029 Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
SR-FINRA-2018-028 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-027 Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations
SR-FINRA-2018-026 Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
SR-FINRA-2018-025 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2018-024 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-023 Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
SR-FINRA-2018-022 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2018-021 Proposed Rule Change Relating to District Committee Structure and Governance
SR-FINRA-2018-020 Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
SR-FINRA-2018-019 Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-FINRA-2018-018 Proposed Rule Change Relating to Statutory Disqualification Application Fees
SR-FINRA-2018-017 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2018-016 Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions