Financial Industry Regulatory Authority (FINRA) Rulemaking

We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List

First Quarter

FINRA File Number List for 2010

Additional Archives

2010 | 2009 | 2008 | 2007

NASD

Chronological List

Release No.	Date	Details
First Quarter
SR-FINRA-2009-073
34-61497	Feb. 4, 2010	Order Approving Proposed Rule Change to Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes See also:  Notice: Rel. No. 34-61217
SR-FINRA-2009-087
34-61473	Feb. 2, 2010	Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook See also:  Notice: Rel. No. 34-61211
SR-FINRA-2010-002
34-61427	Jan. 27, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules Comments due:  21 days after publication in the Federal Register Additional Materials:   Exhibit 5  Submit comments on SR-FINRA-2010-002
SR-FINRA-2009-086
34-61417	Jan. 25, 2010	Order Approving Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook See also:  Notice: Rel. No. 34-61171
SR-FINRA-2010-004
34-61408	Jan. 22, 1010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d) Comments due:  21 days after publication in the Federal Register  Submit comments on SR-FINRA-2010-004
SR-FINRA-2010-001
34-61361	Jan. 14, 2010	Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data Comments due:  21 days after publication in the Federal Register  Submit comments on SR-FINRA-2010-001
SR-FINRA-2009-082
34-61359	Jan. 14, 2010	Order Approving a Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA See also:  Notice: Rel. No. 34-61105
SR-FINRA-2009-084
34-61338	Jan. 12, 2010	Order Approving Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook See also:  Notice: Rel. No. 34-61083
SR-FINRA-2009-080
34-61332	Jan. 12, 2010	Order Approving a Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook See also:  Notice: Rel. No. 34-61116
SR-FINRA-2009-093
34-61319	Jan. 8, 2009	Notice of Filing of Proposed Rule Change to Repeal NASD Rule 2450 (Installment or Partial Sales), NASD Interpretive Material 2830-2 ("IM-2830-2") (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform Forms) as Part of the Process of Developing a Consolidated FINRA Rulebook Comments due:  February 9, 2010 Additional Materials:   Exhibit 5  Submit comments on SR-FINRA-2009-093
SR-FINRA-2009-072
34-61311	Jan. 7, 2010	Order Approving Proposed Rule Change to Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer and Industry Disputes See also:  Notice: Rel. No. 34-61060
SR-FINRA-2009-095
34-61302	Jan. 6, 2010	Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook Comments due:  February 2, 2010  Submit comments on SR-FINRA-2009-095
SR-FINRA-2009-094
34-61297	Jan. 6, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities Comments due:  February 4, 2010  Submit comments on SR-FINRA-2009-094

FINRA File Number Lists

Release No.	Date	Details
SR-FINRA-2010-004
34-61408	Jan. 22, 1010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Non-Substantive Technical Changes to FINRA Rule 4521(d) Comments due:  21 days after publication in the Federal Register  Submit comments on SR-FINRA-2010-004
SR-FINRA-2010-002
34-61427	Jan. 27, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References and Make Other Various Non-Substantive Technical Changes to Certain FINRA Rules Comments due:  21 days after publication in the Federal Register Additional Materials:   Exhibit 5  Submit comments on SR-FINRA-2010-002
SR-FINRA-2010-001
34-61361	Jan. 14, 2010	Notice of Filing of Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data Comments due:  21 days after publication in the Federal Register  Submit comments on SR-FINRA-2010-001

http://www.sec.gov/rules/sro/finra.shtml