Quarterly Regulatory Policy Agenda Archive
See previously published Quarterly Regulatory Policy Agendas below. For the most recent edition and for more information about the Quarterly Regulatory Policy Agenda, visit the Regulatory Policy Agenda page.
June 2026
Publication date: June 10, 2026
Current Priorities
| # | Title | Description | Agenda Stage | Estimated Timetable |
|---|---|---|---|---|
| 1 | Account Documentation Requirements | Proposal to amend Rule 4515 Supplementary Material .01 to address operational burdens. | Approved by Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 2 | Carrying Agreements | Proposal to amend Rule 4311 governing carrying agreements to clarify application of the rule. | Approved by Board; drafting Regulatory Notice to request comment | Publish Regulatory Notice in Q2 2026 |
| 3 | Communications with the Public | Modernize the rules governing communications with the public. | Drafting Regulatory Notice to request comment | Publish Regulatory Notice in Q2 2026 |
| 4 | Financial Records and Reporting Requirements | Proposal to amend Rule 4522 to broadly align with recent SEC staff no action letter. | Approved by Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 5 | Qualification Examination Waiting Periods | Proposal to revise the waiting periods under Rule 1210 for retaking a FINRA qualification examination. | Approved by Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 6 | Arbitration | Consider how to further evolve FINRA's arbitration rules, guidance and processes. | Published Regulatory Notice 26-06; reviewing comments | Q3 2026 and following |
| 7 | Arbitration: Replacement Arbitrators | Proposal to provide additional options to parties when replacing arbitrators. | Approved by Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 8 | Best Execution | Modernize best execution guidance under Rule 5310. | Drafting Regulatory Notice to request comment | Publish Regulatory Notice in Q3 2026 |
| 9 | Continuing Education | Proposal to modify aspects of the Regulatory Element of FINRA's continuing education programs. | Approved by Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 10 | Corporate Financing | Proposal to amend Rules 5110, 5121 and 5123 to further facilitate capital formation and reduce unnecessary burdens impacting the capital raising process. | Approved by Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 11 | Extended Hours Trading | Proposal to amend Rule 6380A and Rule 6380B to further extend TRF operating hours to align with upcoming SIP expanded hours. | Preparing SEC filing | File with the SEC in Q3 2026 |
| 12 | Reporting Requirements | Guidance regarding aspects of customer complaint reporting under Rule 4530. | Consulted with Committees and Board; drafting Regulatory Notice | Publish Regulatory Notice in Q3 2026 |
| 13 | Research | Streamline rules consistent with applicable statutes. | Consulted with Board; held Roundtable in January 2026; drafting Regulatory Notice | Publish Regulatory Notice in Q3 2026 |
| 14 | Senior Investors and Fraud Protection | Proposal to further equip broker-dealers to protect customers (including seniors and vulnerable adults) from fraud and financial exploitation. | Published Regulatory Notice 26-02; preparing SEC filing | File with the SEC in Q3 2026 |
| 15 | Supervision: Branch Office/ Residential Supervisory Locations (Tranche 1) | Proposal to amend certain time periods and terminology to provide greater clarity. | Approved by Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 16 | Supervision: Remote Inspections Pilot Program | Proposal to address the Pilot Program. | Approved by Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 17 | CEO Certification | Modify annual deadline for CEO certification. | Drafting proposal | File with the SEC in Q4 2026 |
| 18 | Same Quote Rule | Proposal to modernize requirements regarding displaying priced quotations in multiple quotation mediums. | Upcoming consultation with Committees and Board; drafting proposal | File with the SEC in Q4 2026 |
| 19 | Cash Compensation Arrangements | Proposal to amend Rule 2341 to remove the requirement to disclose cash compensation arrangements in connection with the sale of investment company securities. | Upcoming consultation with Committees and Board; drafting proposal | Q4 2026 and following |
| 20 | Membership Application Process | Modernize the rules governing new and continuing membership applications and process; seek additional feedback. | Upcoming consultation with Committees and Board; drafting proposal | Q4 2026 and following |
| 21 | Supervision: Branch Offices (Tranche 2) | Modernize supervision rules, including with respect to branch offices. | Preparing for discussion with interested persons | Q4 2026 and following |
| 22 | Account Transfer Fraud | Consider steps to deter fraud in the new account opening and account transfer processes. | Held Roundtable in February 2026; under discussion | Q1 2027 and following |
| 23 | Electronic Delivery | Proposal to facilitate default electronic delivery of information to customers under FINRA rules. | Approved by Board; intend to move forward in tandem with SEC, if possible | TBD |
Active Rule Filings
Once a proposed rule change is filed, the SEC generally has up to 240 days from the date of publication in the Federal Register to approve or disapprove the filing. Please visit FINRA Rule Filings for a comprehensive list of rule filings (from 1997 to the present) and Rule Filing Status Report for up-to-date information on rule filings currently pending with the SEC as well as rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.
| Filing Number | Title |
|---|---|
| SR-FINRA-2026-012 | Proposed Rule Change to Adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) |
| SR-FINRA-2026-009 | Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates |
| SR-FINRA-2026-007 | Proposed Rule Change to Exempt Specified Collective Trust Funds ("CTFs") from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions - Spinning) |
| SR-FINRA-2026-004 | Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) |
| SR-FINRA-2026-002 | Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) |
| SR-FINRA-2026-001 | Proposed Rule Change to Adopt FINRA Rule 3290 (Outside Activities Requirements) |
Rule Filings Approved By SEC or Filed for Immediate Effectiveness Within the Last 12 Months
Please visit FINRA Rule Filings for a comprehensive list of rule filings (from 1997 to the present) and Rule Filing Status Report for up-to-date information on rule filings currently pending with the SEC as well as rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.
* Implementation Date represents the date upon which members must begin complying with the terms of the rule filing.
| Filing Number | Title | Date Approved or Filed for Immediate Effectiveness | Implementation Date* |
|---|---|---|---|
| SR-FINRA-2026-011 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail | 2026-04-28 | 2026-04-28 |
| SR-FINRA-2026-010 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail | 2026-04-28 | 2026-04-28 |
| SR-FINRA-2026-008 | Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) | 2026-04-20 | 2026-05-26 |
| SR-FINRA-2025-017 | Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin Standards | 2026-04-14 | 2026-06-04 (Phase-in period through October 20, 2027) |
| SR-FINRA-2026-006 | Proposed Rule Change to Amend FINRA Rule 6272 (Character of Quotations) to Modify the Operation of the Alternative Display Facility in Light of SEC Regulation NMS's New Requirements Related to the Dissemination of Odd-Lot Quotation Information | 2026-03-27 | 2026-04-27 |
| SR-FINRA-2026-005 | Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) | 2026-02-25 | 2026-03-30 |
| SR-FINRA-2025-003 | Proposed Rule Change to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) | 2026-02-12 | 2026-03-30 |
| SR-FINRA-2025-005 | Proposed Rule Change to Amend the FINRA Capital Acquisition Broker Rules | 2026-02-10 | 2026-03-25 |
| SR-FINRA-2026-003 | Proposed Rule Change to Adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees for Non-Participants) | 2026-01-28 | 2026-02-01 |
| SR-FINRA-2025-016 | Proposed Rule Change to Amend FINRA Rule 6830 (Industry Member Data Reporting) Regarding the Bona Fide Market Making Exception under SEC Regulation SHO | 2025-12-12 | 2025-12-12 |
| SR-FINRA-2025-015 | Proposed Rule Change to Amend FINRA Rules 5220, 5320, 6220, 6272, 6279, 6320A, 6320B, and 7620A to Conform to the New Definition of "Round Lot" Adopted by the Commission under Regulation NMS | 2025-12-03 | 2025-12-03 |
| SR-FINRA-2025-014 | Proposed Rule Change to Amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) | 2025-11-26 | 2025-12-01 |
| SR-FINRA-2025-008 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) | 2025-09-16 | 2026-06-08 |
| SR-FINRA-2024-021 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on their Age or Health Condition | 2025-08-21 | 2026-03-30 |
| SR-FINRA-2024-022 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process | 2025-08-20 | 2026-01-26 |
| SR-FINRA-2025-013 | Proposed Rule Change to Require Use of an Office of Hearing Officers ("OHO") Portal | 2025-08-08 | 2025-10-07 |
| SR-FINRA-2025-012 | Proposed Rule Change to Amend FINRA Rule 6860 (Time Stamps) | 2025-07-16 | 2025-07-16 |
| SR-FINRA-2025-011 | Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) to Extend the Trade Reporting Facilities Operating Hours | 2025-07-08 | 2026-03-30 |
| SR-FINRA-2025-001 | Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 and 5131 | 2025-06-26 | 2025-07-23 |
| SR-FINRA-2025-002 | Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) | 2025-06-25 | FINRA will announce the effective date in a Regulatory Notice |
| SR-FINRA-2025-009 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Prospective CAT Fee 2025-2 for Industry Members Related to Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail | 2025-06-24 | 2025-06-24 |
Other Significant Regulatory Policy Measures Completed Within the Last 12 Months
This table highlights significant recent policy measures completed within the last 12 months other than rulemaking. Please visit FINRA's website for more comprehensive materials and other sources of guidance, including Key Topics, Notices, Frequently Asked Questions (FAQs), Exemptive Letters, Interpretive Letters, Interpretations to the SEC's Financial and Operational Rules, Reports & Studies (which includes links to FINRA's Annual Regulatory Oversight Reports), Comment Letters Submitted by FINRA, and FINRA's Blogs and Podcasts (FINRA Unscripted).
| Publication | Title | Description |
|---|---|---|
| June 09, 2026 | Regulatory Notice 26-12 | Guidance Regarding the Application of FINRA Rules in Relation to the SEC No-Action Letter on Personal Services Entities Effective Date: November 17, 2025 |
| May 19, 2026 | Regulatory Notice 26-11 | FINRA Announces Publication of Interpretations and Investor Education Materials Relating to New Intraday Margin Standards |
| May 2026 | Fingerprint Processing FAQ 42 | FINRA clarifies how members may request relief from the Exchange Act fingerprinting obligations for personnel in foreign jurisdictions where local laws restrict or prohibit the collection of fingerprints |
| May 2026 | Trade Reporting FAQ 101.14 | FINRA clarifies how members should report the price of a trade for a security based on the value of an asset that is not a fiat currency |
| March 23, 2026 | Regulatory Notice 26-09 | FINRA Enhances New Member Application (Form NMA) |
| February 06, 2026 | Regulatory Notice 26-03 | Reducing Burdens and Providing Guidance on the Use of Negative Consent for the Bulk Transfer or Assignment of Customers' Accounts |
| February 2026 | Rule 4522(b)(1) FAQ | In tandem with SEC no-action relief, FINRA clarifies application of Rule 4522(b)(1) with respect to capital balance funds |
| January 14, 2026 | Trade Reporting Notice 1/14/26 | Upcoming Trade Reporting Enhancements for Fractional Share Transactions |
| December 29, 2025 | Regulatory Notice 25-19 | FINRA Amends Annual Reports Extension of Time Request Policy |
| December 22, 2025 | Rule 2210 FAQs A.1 | FINRA provides additional guidance on the application of the Communications with the Public Rule to the distribution of institutional communications |
| December 2025 | Rule 2310 FAQ 5 | FINRA clarifies the application of the Direct Participation Program (DPP) Rule to limited liability companies |
| October 10, 2025 | Regulatory Notice 25-13 | FINRA Enhances Its Systems to Facilitate Member Compliance With Form U4 Recordkeeping Requirements |
| October 07, 2025 | Regulatory Notice 25-12 | FINRA Announces Update of the Interpretations of Financial and Operational Rules |
| August 15, 2025 | Regulatory Notice 25-09 | FINRA Enhances Its Systems to Enable Members to Provide Associated Persons With Uniform Registration Form and Predispute Arbitration Information Through FinPro Gateway |
| August 2025 | Rule 4360 FAQ | FINRA clarifies the application of the Fidelity Bonds Rule to members whose sole business is equivalent to that of a Designated Market Maker and that do not conduct business with the public |
| August 2025 | Rule 2310 FAQ 4 | FINRA clarifies the application of the Direct Participation Program (DPP) Rule to discretionary account transaction |
| July 28, 2025 | SEC Order Granting Temporary Exemptive Relief from Certain Aspects of Rule 10c-1a | In response to FINRA's request, the SEC granted exemptive relief to extend Securities Exchange Act of 1934 Rule 10c-1a compliance dates; compliance dates were further extended by the SEC's December 3, 2025 Exemptive Order |
| July 05, 2025 | Short List Option | FINRA enhances its current voluntary "Short List Option" program |
February 2026
Publication date: February 25, 2026
Current Priorities
| # | Title | Description | Agenda Stage | Estimated Timetable |
|---|---|---|---|---|
| 1 | Arbitration | Consider how to further evolve FINRA's arbitration rules, guidance and processes. | Drafting Regulatory Notice to request comment | Publish Regulatory Notice in Q1 2026 |
| 2 | Personal Services Entities | Guidance regarding the payment of transaction-based compensation to personal services entities under SEC staff no action letter. | Drafting Regulatory Notice | Publish Regulatory Notice in Q1 2026 |
| 3 | Amendments to Account Documentation Requirements | Proposal to amend Rule 4515 Supplementary Material .01 to address operational burdens. | Consulted with Committees; upcoming consultation with Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 4 | Carrying Agreements | Amend Rule 4311 governing carrying agreements to clarify application of the rule. | Approved by Board; drafting Regulatory Notice to request comment | Publish Regulatory Notice in Q2 2026 |
| 5 | Collective Trust Fund Exemption from IPO Rules | Proposal to exempt collective trust funds from the new issue allocation prohibitions under FINRA's IPO rules (Rule 5130 and Rule 5131). | Approved by Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 6 | Electronic Delivery | Proposal to facilitate electronic delivery of information to customers under FINRA rules. | Approved by Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 7 | Electronic Delivery of 8210 Requests | Proposal to allow electronic delivery of information requests to member firms under Rule 8210. | Consulted with Committees; upcoming consultation with Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 8 | Financial Records and Reporting Requirements | Amend Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to broadly align with new SEC staff no action letter. | Consulted with Committees; upcoming consultation with Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 9 | Form NMA | Enhancements to Form NMA to update functionality and improve the overall user experience with the form, resulting in a more efficient application review process. | Testing underway; drafting Regulatory Notice describing changes | Publish Regulatory Notice in Q2 2026 |
| 10 | Qualification Examination Waiting Periods | Proposal to revise the waiting periods under Rule 1210 for retaking a FINRA qualification examination. | Consulted with Committees; upcoming consultation with Board; preparing SEC filing | File with the SEC in Q2 2026 |
| 11 | TRACE Principal Transaction Indicator | Proposal to expand the availability of the TRACE principal transaction indicator under Rule 6730. | Preparing SEC filing | File with the SEC in Q2 2026 |
| 12 | Branch Office/Residential Supervisory Locations Amendments (Tranche 1) | Proposal to amend certain time periods and terminology to provide greater clarity. | Upcoming consultation with Committees and Board | File with the SEC in Q3 2026 |
| 13 | Corporate Financing Amendments | Proposal to further facilitate capital formation and reduce unnecessary burdens impacting the capital raising process. | Upcoming consultation with Committees and Board | File with the SEC in Q3 2026 |
| 14 | Extended Hours Trading | Proposal to amend Rule 6380A and Rule 6380B to further extend TRF operating hours to 23 hours each business day, to align with upcoming SIP expanded hours. | Drafting proposal | File with the SEC in Q3 2026 |
| 15 | Remote Inspections Pilot Program | Proposal to address the Pilot Program. | Upcoming consultation with Committees and Board | File with the SEC in Q3 2026 |
| 16 | Replacement Arbitrators | Proposal to amend the Codes of Arbitration Procedure to provide additional options to parties when replacing arbitrators. | Consulted with Advisory Committees; upcoming consultation with Board; preparing SEC filing | File with the SEC in Q3 2026 |
| 17 | Research | Streamline rules consistent with applicable statutes. | Upcoming Consultation with Committees and Board | Publish Regulatory Notice in Q3 2026 |
| 18 | Senior Investors and Fraud Protection | Proposal to further equip broker-dealers to protect customers (including seniors and vulnerable adults) from fraud and financial exploitation. | Published Regulatory Notice 26-02; review comments and draft proposal | File with the SEC in Q3 2026 |
| 19 | Account Transfer Fraud | Consider steps to deter fraud in the new account opening process. | Held Roundtable in February 2026; under discussion | Q4 and following |
| 20 | Communications with the Public | Modernize the rules governing communications with the public. | Under discussion | Q4 and following |
| 21 | Membership Application Process | Modernize the rules governing new and continuing membership applications and process; seek additional feedback. | Under discussion | Q4 and following |
| 22 | Supervision | Modernize supervision rules, including with respect to branch offices. | Under discussion | Q4 and following |
Active Rule Filings
Please visit FINRA Rule Filings for a comprehensive list of rule filings (from 1997 to the present) and Rule Filing Status Report for up-to-date information on rule filings currently pending with the SEC as well as rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.
| Filing Number | Title |
|---|---|
| SR-FINRA-2026-004 | Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) |
| SR-FINRA-2026-002 | Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) |
| SR-FINRA-2026-001 | Proposed Rule Change to Adopt FINRA Rule 3290 (Outside Activities Requirements) |
| SR-FINRA-2025-017 | Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin Standards |
Rule Filings Approved By SEC or Filed for Immediate Effectiveness Within the Last 12 Months
Please visit FINRA Rule Filings for a comprehensive list of rule filings (from 1997 to the present) and Rule Filing Status Report for up-to-date information on rule filings currently pending with the SEC as well as rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.
* Implementation Date represents the date upon which members must begin complying with the terms of the rule filing.
| Filing Number | Title | Date Approved or Filed for Immediate Effectiveness | Implementation Date* |
|---|---|---|---|
| SR-FINRA-2025-003 | Proposed Rule Change to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) | 2026-02-12 | FINRA will announce the effective date in a Regulatory Notice |
| SR-FINRA-2025-005 | Proposed Rule Change to Amend the FINRA Capital Acquisition Broker Rules | 2026-02-10 | 2026-03-25 |
| SR-FINRA-2026-003 | Proposed Rule Change to Adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees for Non-Participants) | 2026-01-28 | 2026-02-01 |
| SR-FINRA-2025-016 | Proposed Rule Change to Amend FINRA Rule 6830 (Industry Member Data Reporting) Regarding the Bona Fide Market Making Exception under SEC Regulation SHO | 2025-12-12 | 2025-12-12 |
| SR-FINRA-2025-015 | Proposed Rule Change to Amend FINRA Rules 5220, 5320, 6220, 6272, 6279, 6320A, 6320B, and 7620A to Conform to the New Definition of "Round Lot" Adopted by the Commission under Regulation NMS | 2025-12-03 | 2025-12-03 |
| SR-FINRA-2025-014 | Proposed Rule Change to Amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) | 2025-11-26 | 2025-12-01 |
| SR-FINRA-2025-008 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) | 2025-09-16 | 2026-06-08 |
| SR-FINRA-2024-021 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on their Age or Health Condition | 2025-08-21 | 2026-03-30 |
| SR-FINRA-2024-022 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process | 2025-08-20 | 2026-01-26 |
| SR-FINRA-2025-013 | Proposed Rule Change to Require Use of an Office of Hearing Officers ("OHO") Portal | 2025-08-08 | 2025-10-07 |
| SR-FINRA-2025-012 | Proposed Rule Change to Amend FINRA Rule 6860 (Time Stamps) | 2025-07-16 | 2025-07-16 |
| SR-FINRA-2025-011 | Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) to Extend the Trade Reporting Facilities Operating Hours | 2025-07-08 | 2026-03-30 |
| SR-FINRA-2025-001 | Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 and 5131 | 2025-06-26 | 2025-07-23 |
| SR-FINRA-2025-002 | Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) | 2025-06-25 | FINRA will announce the effective date in a Regulatory Notice |
| SR-FINRA-2025-009 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Prospective CAT Fee 2025-2 for Industry Members Related to Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail | 2025-06-24 | 2025-06-24 |
| SR-FINRA-2025-007 | Proposed Rule Change to Modify the Implementation Schedule of Amendments to Section 7 of Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 | 2025-06-05 | 2025-06-05 2027-01-01 |
| SR-FINRA-2025-006 | Proposed Rule Change Relating to the Effectiveness of Certain Immediately Effective FINRA Sanctions and Actions | 2025-06-04 | 2025-07-04 |
| SR-FINRA-2025-004 | Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions | 2025-06-02 | 2025-06-02 |