Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-85547 | Apr 8, 2019 | SR-FINRA-2019-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) See Also - Exhibit 5 |
| 34-85499 | Apr 3, 2019 | SR-FINRA-2019-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7640B, Data Products Offered by NYSE See Also - Exhibit 5 |
| 34-85488 | Apr 2, 2019 | SR-FINRA-2019-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-85420 | Mar 26, 2019 | SR-FINRA-2019-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities |
| 34-85413 | Mar 26, 2019 | SR-FINRA-2019-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs See Also - Exhibit 5 |
| 34-85282 | Mar 11, 2019 | SR-FINRA-2018-040 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) |
| 34-85209 | Feb 27, 2019 | SR-FINRA-2018-039 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) |
| 34-85112 | Feb 12, 2019 | SR-FINRA-2019-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Temporary Relief To Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning To Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities |
| 34-85083 | Feb 8, 2019 | SR-FINRA-2019-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| 34-85073 | Feb 7, 2019 | SR-FINRA-2019-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information) See Also - Exhibit 5 |