Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-85063 | Feb 6, 2019 | SR-FINRA-2019-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 View Received Comments |
| 34-85062 | Feb 6, 2019 | SR-FINRA-2019-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) See Also - Exhibit 5 |
| 34-85003 | Jan 30, 2019 | SR-FINRA-2018-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) |
| 34-84982 | Jan 11, 2019 | SR-FINRA-2018-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) |
| 34-84901 | Dec 20, 2018 | SR-FINRA-2018-042 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 7610A and 7620A To Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants See Also - Exhibit 3, Exhibit 5 |
| 34-84855 | Dec 19, 2018 | SR-FINRA-2018-041 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required To Be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| 34-84788 | Dec 11, 2018 | SR-FINRA-2018-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) View Received Comments See Also - Exhibit 5 |
| 34-84646 | Nov 26, 2018 | SR-FINRA-2018-039 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) View Received Comments See Also - Exhibit 5 |
| 34-84518 | Nov 1, 2018 | SR-FINRA-2018-037 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 9910 Post-Employment Conflict of Interest Restrictions; Nonpublic Information View Received Comments See Also - Exhibit 5 |
| 34-84418 | Oct 12, 2018 | SR-FINRA-2018-026 | Financial Industry Regulatory Authority (FINRA) | Order for Production or Appearance |