Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-86091 | Jun 12, 2019 | SR-FINRA-2019-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes |
| 34-85981 | May 31, 2019 | SR-FINRA-2019-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) See Also - Exhibit 5 |
| 34-85911 | May 22, 2019 | SR-FINRA-2019-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service |
| 34-85781 | May 6, 2019 | SR-FINRA-2019-004 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Expand Time for Non-Parties To Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| 34-85764 | May 2, 2019 | SR-FINRA-2019-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the FINRA Manual To Reflect FINRA's New Subsidiary, FINRA CAT, LLC See Also - Exhibit 5 |
| 34-85715 | Apr 25, 2019 | SR-FINRA-2019-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes View Received Comments See Also - Exhibit 5 |
| 34-85713 | Apr 24, 2019 | SR-FINRA-2019-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) April 24, 2019. View Received Comments See Also - Exhibit 5 |
| 34-85685 | Apr 18, 2019 | SR-FINRA-2019-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility See Also - Exhibit 5 |
| 34-85612 | Apr 11, 2019 | SR-FINRA-2019-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) See Also - Exhibit 5 |
| 34-85589 | Apr 10, 2019 | SR-FINRA-2019-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules View Received Comments See Also - Exhibit 5 |