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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Title Sort descending
SR-FINRA-2020-002 Proposed Rule Change to Amend FINRA Rule 11900 (Clearance of Corporate Debt Securities) to Except Certain Transactions in Corporate Debt Securities
SR-FINRA-2020-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2019-030 Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims
SR-FINRA-2019-029 Proposed Rule Change to Amend FINRA Rule 7610A to Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants
SR-FINRA-2019-028 Proposed Rule Change to Amend FINRA Rule 6750 (Dissemination of Transaction Information)
SR-FINRA-2019-027 Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive
SR-FINRA-2019-026 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2019-025 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2019-024 Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
SR-FINRA-2019-023 Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2019-022 Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2019-021 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2019-020 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2019-019 Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
SR-FINRA-2019-018 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2019-017 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
SR-FINRA-2019-016 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2019-015 Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
SR-FINRA-2019-014 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2019-012 Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
SR-FINRA-2019-011 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2019-009 Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
SR-FINRA-2019-010 Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2019-008 Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service