Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort descending Title
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 Notice of Filing of a 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 A 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 Temporary Extension of the Limited Period for Registered Persons to Function as Principals (Rule 1210) and for Persons to Function as Operations Professionals (Rule 1220)
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
SR-FINRA-2020-013 Proposed Rule Change to Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA’s Minor Rule Violation Plan (“MRVP”)
SR-FINRA-2020-012 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck