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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 2015

Additional Archives

NASD


Chronological List
Release No. Date Details
First Quarter

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2014-030
34-74021 Jan. 9, 2015 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
See also: Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575


FINRA File Number List for 2015
Release No. Date Details

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

 

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


Modified: 01/15/2015