Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort descending | Title |
|---|---|
| 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 |
| SR-FINRA-2020-016 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2020-015 | Proposed Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) |
| SR-FINRA-2020-014 | Proposed Rule Change to Amend FINRA Rule 9231 to Provide for the Compensation of All Panelists that Serve in Connection with a FINRA Disciplinary Hearing |