Share your feedback about our website. Take the survey.
Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| 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 |
| SR-FINRA-2018-015 | Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent |
| SR-FINRA-2018-014 | Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities |
| SR-FINRA-2018-013 | Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. |
| SR-FINRA-2018-012 | Proposed Rule Change to Eliminate the Fee for an Explained Decision |
| SR-FINRA-2018-011 | Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination |
| SR-FINRA-2018-010 | Proposed Rule Change to Revise the Securities Trader (Series 57) Examination |
| SR-FINRA-2018-009 | Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination |
| SR-FINRA-2018-008 | Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination |
| SR-FINRA-2018-007 | Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination |
| SR-FINRA-2018-006 | Proposed Rule Change to Revise the Operations Professional (Series 99) Examination |
| SR-FINRA-2018-005 | Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations |
| SR-FINRA-2018-004 | Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination |
| SR-FINRA-2018-003 | Proposed Rule Filing Relating to Simplified Arbitration |
| SR-FINRA-2018-002 | Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination |
| SR-FINRA-2018-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2017-036 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2017-035 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2017-034 | Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements |
| SR-FINRA-2017-033 | Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File |
| SR-FINRA-2017-032 | Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4) |
| SR-FINRA-2017-031 | Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2017-030 | Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA |
| SR-FINRA-2017-029 | Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2017-028 | Proposed Rule Change to Implement a New Electronic Form 211 |