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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
Second Quarter | First Quarter
FINRA File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
NASD
| Release No. |
Date |
Details |
| Second Quarter |
SR-FINRA-2013-013 |
| 34-69561 |
May 13, 2013 |
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also: Notice: Rel. No. 34-69173, Notice: Rel. No. 34-68842
|
SR-FINRA-2013-021 |
| 34-69543 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-FINRA-2013-021
|
SR-FINRA-2013-002 |
| 34-69440 |
Apr. 24, 2013 |
Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also: Notice: Rel. No. 34-69063, Notice: Rel. No. 34-68700
|
SR-FINRA-2013-020 |
| 34-69398 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2013-020
|
SR-FINRA-2013-003 |
| 34-69297 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
See also: Notice: Rel. No. 34-68632
|
SR-FINRA-2013-019 |
| 34-69262 |
Apr. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013
Submit comments on SR-FINRA-2013-019
|
| First Quarter |
SR-FINRA-2013-018 |
| 34-69178 |
Mar. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-FINRA-2013-018
|
SR-FINRA-2013-013 |
| 34-69173 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
See also: Order: Rel. No. 34-69561, Notice: Rel. No. 34-68842
|
SR-FINRA-2013-017 |
| 34-69089 |
Mar. 8, 2013 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received are available for this proposal.
Submit comments on SR-FINRA-2013-017
|
SR-FINRA-2013-002 |
| 34-69063 |
Mar. 7, 2013 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
See also: Notice: Rel. No. 34-69440, Notice: Rel. No. 34-68700
|
SR-FINRA-2012-052 |
| 34-69037 |
Mar. 5, 2013 |
Order Granting Approval of Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
See also: Notice: Rel. No. 34-68768, Notice: Rel. No. 34-68414
|
SR-FINRA-2013-016 |
| 34-68985 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2013-016
|
SR-FINRA-2013-015 |
| 34-68942 |
Feb. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2013-014 |
| 34-68918 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials: Exhibit 5
|
SR-FINRA-2012-010 |
| 34-68874 |
Feb. 8, 2013 |
Order Approving a Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
See also: Notice: Rel. No. 34-68526
|
SR-FINRA-2013-010 |
| 34-68855 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-FINRA-2013-009 |
| 34-68846 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013
|
SR-FINRA-2013-013 |
| 34-68842 |
Feb. 6, 2013 |
Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69561, Notice: Rel. No. 34-69173
Comments received are available for this proposal.
|
SR-FINRA-2012-050 |
| 34-68832 |
Feb. 5, 2013 |
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
Comments due: March 4, 2013
See also: Notice: Rel. No. 34-68270
|
SR-FINRA-2013-012 |
| 34-68808 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013
|
SR-FINRA-2013-011 |
| 34-68778 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013
|
SR-FINRA-2013-008 |
| 34-68775 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 27, 2013
|
SR-FINRA-2012-052 |
| 34-68768 |
Jan. 30, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report to TRACE the "Factor" in Limited Instances Involving Asset-Backed Security Transactions
See also: Notice: Rel. No. 34-69037, Notice: Rel. No. 34-68414
|
SR-FINRA-2013-006 |
| 34-68701 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2013-002 |
| 34-68700 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
See also: Notice: Rel. No. 34-69440, Notice: Rel. No. 34-69063
Comments received are available for this proposal.
|
SR-FINRA-2013-004 |
| 34-68692 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 2013
|
SR-FINRA-2012-053 |
| 34-68675 |
Jan. 16, 2013 |
Order Approving Proposed Rule Change to Establish Optional TRACE Data Delivery Services and Related Fees
See also: Notice: Rel. No. 34-68387
|
SR-FINRA-2013-001 |
| 34-68650 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013
|
SR-FINRA-2013-005 |
| 34-68633 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013
|
SR-FINRA-2013-003 |
| 34-68632 |
Jan. 11, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
See also: Order: Rel. No. 34-69297
Comments received are available for this proposal.
|
| FINRA File Number List for 2013 |
| Release No. |
Date |
Details |
SR-FINRA-2013-021 |
| 34-69543 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-FINRA-2013-021
|
SR-FINRA-2013-020 |
| 34-69398 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making)
Comments due: May 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2013-020
|
SR-FINRA-2013-019 |
| 34-69262 |
Apr. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: April 26, 2013
Submit comments on SR-FINRA-2013-019
|
SR-FINRA-2013-018 |
| 34-69178 |
Mar. 19, 2013 |
Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-FINRA-2013-018
|
SR-FINRA-2013-017 |
| 34-69089 |
Mar. 8, 2013 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: April 4, 2013
Comments received are available for this proposal.
Submit comments on SR-FINRA-2013-017
|
SR-FINRA-2013-016 |
| 34-68985 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: March 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-FINRA-2013-016
|
SR-FINRA-2013-015 |
| 34-68942 |
Feb. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
Comments due: March 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2013-014 |
| 34-68918 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Comments due: March 13, 2013
Additional Materials: Exhibit 5
|
SR-FINRA-2013-013 |
| 34-69561 |
May 13, 2013 |
Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
|
| 34-69173 |
Mar. 19, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
|
| 34-68842 |
Feb. 6, 2013 |
Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
Comments due: March 5, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2013-012 |
| 34-68808 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
Comments due: February 28, 2013
|
SR-FINRA-2013-011 |
| 34-68778 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: February 27, 2013
|
SR-FINRA-2013-010 |
| 34-68855 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Individual Stock Trading Pause Pilot Program
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-FINRA-2013-009 |
| 34-68846 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the "Late Report-T+N" Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
Comments due: March 5, 2013
|
SR-FINRA-2013-008 |
| 34-68775 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
Comments due: February 27, 2013
|
SR-FINRA-2013-006 |
| 34-68701 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Comments due: February 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-FINRA-2013-005 |
| 34-68633 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
Comments due: February 8, 2013
|
SR-FINRA-2013-004 |
| 34-68692 |
Jan. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
Comments due: February 15, 2013
|
SR-FINRA-2013-003 |
| 34-69297 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
|
| 34-68632 |
Jan. 11, 2013 |
Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
Comments due: February 7, 2013
Comments received are available for this proposal.
|
SR-FINRA-2013-002 |
| 34-69440 |
Apr. 24, 2013 |
Notice of Withdrawal of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
|
| 34-69063 |
Mar. 7, 2013 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
|
| 34-68700 |
Jan. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
Comments due: February 15, 2013
Comments received are available for this proposal.
|
SR-FINRA-2013-001 |
| 34-68650 |
Jan. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
Comments due: February 8, 2013
|
http://www.sec.gov/rules/sro/finra.shtml
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