Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-102093 | Jan 2, 2025 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATETM)) View Received Comments |
| 34-102062 | Dec 31, 2024 | SR-FINRA-2024-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Consolidated Audit Trail Cost Recovery Fee Comments Due: January 27, 2025 See Also - Exhibit 5, Rule 19b-4 Information Submit a Comment on SR-FINRA-2024-024
|
| 34-102053 | Dec 30, 2024 | SR-FINRA-2024-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Prospective Costs of the National Market System Plan Governing the C Comments Due: January 27, 2025 View Received Comments See Also - Exhibit-19b4, Exhibit 5 |
| 34-101993 | Dec 19, 2024 | SR-FINRA-2024-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical, and Procedural Changes to the Arbitrator List Selection Process Comments Due: April 4, 2025 Rebuttal comments: April 18, 2025 View Received Comments |
| 34-101957 | Dec 18, 2024 | SR-FINRA-2024-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age or Heal Comments Due: January 16, 2025 View Received Comments |
| 34-101697 | Nov 21, 2024 | SR-FINRA-2024-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees in FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE™)) Comments Due: December 18, 2024 View Received Comments See Also - Exhibit 5 |
| 34-101696 | Nov 21, 2024 | SR-FINRA-2024-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA’s Regulatory Mission Comments Due: December 18, 2024 See Also - Exhibit 3, Exhibit 5 |
| 34-101645 | Nov 15, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |
| 34-101561 | Nov 7, 2024 | SR-FINRA-2024-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing Comments Due: December 5, 2024 |
| 34-101450 | Oct 28, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |