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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 2016

Additional Archives

NASD


Chronological List
Release No. Date Details
First Quarter

SR-FINRA-2016-003
34-77015 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-040
34-76970 Jan. 22, 2016 Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Funding Portal Rules and Related Forms and Rule 4518
Comments due: 21 days after publication in the Federal Register
Additional Materials: Amendment No. 1

SR-FINRA-2016-002
34-76931 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2015-036
34-76908 Jan. 14, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 45 days after publication in the Federal Register
See also: Notice: Rel. No. 34-76148

SR-FINRA-2015-47
34-76855 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
See also: Notice: Rel. No. 34-76483

SR-FINRA-2015-48
34-76854 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Plan to Implement A Tick Size Pilot Program
Comments due: February 3, 2016

SR-FINRA-2016-001
34-76850 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 3, 2016
Additional Materials: Exhibit 5


FINRA File Number List for 2016
Release No. Date Details

SR-FINRA-2016-003
34-77015 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2016-002
34-76931 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2016-001
34-76850 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: February 3, 2016
Additional Materials: Exhibit 5

 

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


Modified: 02/02/2016