Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-106275 | Sep 3, 2026 | SR-FINRA-2026-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to Adopt FINRA... Comments Due: September 30, 2026 View Received Comments Submit a Comment on SR-FINRA-2026-018
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| 34-106269 | Sep 3, 2026 | SR-FINRA-2026-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments Comments Due: September 30, 2026 See Also - Exhibit 5 |
| 34-106259 | Sep 2, 2026 | SR-FINRA-2026-016 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) |
| 34-106183 | Aug 25, 2026 | SR-FINRA-2026-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Changes to Certain Provisions Relating to Arbitrator List Selection Comments Due: September 18, 2026 |
| 34-105991 | Jul 24, 2026 | SR-FINRA-2026-009 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates View Received Comments |
| 34-105987 | Jul 24, 2026 | SR-FINRA-2026-002 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) View Received Comments |
| 34-105925 | Jul 16, 2026 | SR-FINRA-2026-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) See Also - Exhibit 5 |
| 34-105922 | Jul 15, 2026 | SR-FINRA-2026-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6300 Series (Trade Reporting Facilities) to Extend the Trade Reporting Facilities Operating Hours to 23 Hours Per Day, Five Days Per Week Comments Due: August 10, 2026 View Received Comments See Also - Exhibit 5 |
| 34-105885 | Jul 13, 2026 | SR-FINRA-2026-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1210 (Registration Requirements) Comments Due: August 6, 2026 View Received Comments See Also - Exhibit 5 |
| 34-105873 | Jul 9, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130... Comments Due: August 4, 2026. Rebuttal Comments Due: August 18, 2026. View Received Comments |