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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number: 34-99696 SEC Issue Date:Mar 8, 2024 File Number:SR-FINRA-2023-010 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
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Release Number:34-99640 SEC Issue Date:Feb 29, 2024 File Number:SR-FINRA-2024-004 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Comments Due: March 10, 2024
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Release Number:34-99588 SEC Issue Date:Feb 22, 2024 File Number:SR-FINRA-2023-016 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of
Comments Due: March 20, 2024. Rebuttal comments should be submitted on or before by April 3, 2024.
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See Also - Exhibit 4, Exhibit 5
Release Number:34-99487 SEC Issue Date:Feb 7, 2024 File Number:SR-FINRA-2023-015 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
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Release Number:34-99404 SEC Issue Date:Jan 19, 2024 File Number:SR-FINRA-2024-004 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute
Comments Due: March 10, 2024
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See Also - Exhibit 5
Release Number:34-99372 SEC Issue Date:Jan 17, 2024 File Number:SR-FINRA-2024-003 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disa
Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024.
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See Also - Exhibit 5
Release Number:34-99363 SEC Issue Date:Jan 17, 2024 File Number:SR-FINRA-2024-002 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspens
Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024.
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See Also - Exhibit 5
Release Number:34-99351 SEC Issue Date:Jan 16, 2024 File Number:SR-FINRA-2024-001 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
Comments Due: February 12, 2024
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Release Number:34-99335 SEC Issue Date:Jan 11, 2024 File Number:SR-FINRA-2023-013 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024
Release Number:34-99331 SEC Issue Date:Jan 11, 2024 File Number: SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification