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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-2023-008 Proposed Rule Change to Allow for Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
SR-FINRA-2023-007 Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
SR-FINRA-2023-006 Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
SR-FINRA-2023-005 Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
SR-FINRA-2023-004 Proposed Revisions to the Content Outline and Selection Specifications for the Research Analyst (Series 86/87) Exam Program
SR-FINRA-2023-003 Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
SR-FINRA-2023-002 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2023-001 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d)
SR-FINRA-2022-033 Proposed Rule Change to Amend the Codes of Arbitration Procedure
SR-FINRA-2022-032 Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2022-031 Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
SR-FINRA-2022-030 Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17
SR-FINRA-2022-029 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
SR-FINRA-2022-028 Proposed Rule Change to Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
SR-FINRA-2022-027 Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2022-026 Proposed Rule Change to Change References in the Codes of Arbitration Procedure from the Neutral List Selection System to the List Selection Algorithm
SR-FINRA-2022-025 Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
SR-FINRA-2022-024 Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information
SR-FINRA-2022-023 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2022-022 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2022-021 Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
SR-FINRA-2022-020 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2022-019 Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
SR-FINRA-2022-018 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-2022-017 Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities