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Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending Title
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
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
SR-FINRA-2020-011 Proposed Rule Change to Address Brokers with a Significant History of Misconduct
SR-FINRA-2020-010 Proposed Rule Change to Provide Members with Additional Time to Comply with the Amendments Adopted by SR-FINRA-2019-014
SR-FINRA-2020-009 Proposed Rule Change to Amend FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) Concerning the Resumption of Trading Following a Level 3 Market-wide Circuit Breaker Halt
SR-FINRA-2020-008 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2020-007 Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
SR-FINRA-2020-006 Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
SR-FINRA-2020-005 Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
SR-FINRA-2020-004 Proposed Rule Change to Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants that Use the FINRA/Nasdaq Trade Reporting Facility