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Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title Sort descending
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
SR-FINRA-2022-016 Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule
SR-FINRA-2022-015 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
SR-FINRA-2022-014 Proposed Rule Change to Amend FINRA Rules 4111 and 9561 to Make Non-Substantive and Technical Amendments
SR-FINRA-2022-013 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Enhance TRACE Reporting Obligations for U.S. Treasury Securities
SR-FINRA-2022-012 Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes (“Code”) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
SR-FINRA-2022-011 Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
SR-FINRA-2022-010 Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2022-009 Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals
SR-FINRA-2022-008 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2022-007 Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds