Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-FINRA-2021-017 Proposed Rule Change Relating to the Retirement of FINRA’s Order Audit Trail System
SR-FINRA-2021-016 Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults)
SR-FINRA-2021-015 Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)
SR-FINRA-2021-014 Proposed Rule Change Relating to Members’ Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
SR-FINRA-2021-013 Proposed Rule Change to Amend the Supplemental Inventory Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2021-012 Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2021-011 Proposed Rule Change to Clarify Rule 1011(p) (Specified Risk Event)
SR-FINRA-2021-010 Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2021-009 Proposed Rule Change to Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2021-008 Proposed Rule Change Relating to Security-Based Swaps
SR-FINRA-2021-007 Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service
SR-FINRA-2021-006 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
SR-FINRA-2021-005 Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026 and SR-FINRA-2020-043
SR-FINRA-2021-004 Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2021-003 Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form
SR-FINRA-2021-002 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2021-001 Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
SR-FINRA-2020-046 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2020-045 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
SR-FINRA-2020-044 Proposed Rule Change to Amend FINRA Rule 7610A to Modify Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants
SR-FINRA-2020-043 Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026
SR-FINRA-2020-042 Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments in SR-FINRA-2020-15 and SR-FINRA-2020-027
SR-FINRA-2020-041 Proposed Rule Change to Address Firms with a Significant History of Misconduct
SR-FINRA-2020-040 Proposed Rule Change to Adopt Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision).
SR-FINRA-2020-039 Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and Disclosure