Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-104830 | Feb 12, 2026 | SR-FINRA-2025-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) View Received Comments |
| 34-104806 | Feb 10, 2026 | SR-FINRA-2025-005 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules View Received Comments |
| 34-104746 | Jan 29, 2026 | SR-FINRA-2026-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3290 (Outside Activities Requirements) Comments Due: February 24, 2026 Submit a Comment on SR-FINRA-2026-001
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| 34-104732 | Jan 28, 2026 | SR-FINRA-2025-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Time for Commission Action on a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin Standards View Received Comments |
| 34-104703 | Jan 28, 2026 | SR-FINRA-2026-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees for Non-Participants) Comments Due: February 23, 2026 See Also - Exhibit 5 |
| 34-104695 | Jan 27, 2026 | SR-FINRA-2026-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) Comments Due: February 20, 2026 See Also - Exhibit 5 |
| 34-104572 | Jan 9, 2026 | SR-FINRA-2025-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin Standards Comments Due: February 4, 2026 View Received Comments See Also - Exhibit 5 |
| 34-104502 | Dec 23, 2025 | SR-FINRA-2025-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6830 (Industry Member Data Reporting) Regarding the Bona Fide Market Making Exception Under SEC Regulation SHO Comments Due: January 21, 2026 See Also - Exhibit 5 |
| 34-104441 | Dec 18, 2025 | SR-FINRA-2025-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 5220, 5320, 6220, 6272, 6279, 6320A, 6320B, and 7620A to Conform to the New Definition of “Round Lot” Adopted by the Commission under Regulation NMS Comments Due: January 13, 2026 See Also - Exhibit 5 |
| 34-104330 | Dec 5, 2025 | SR-FINRA-2025-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620B (FINRA/NYSE Trade Reporting Facility Reporting Fees) Comments Due: December 31, 2025 See Also - Exhibit 5 |