Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83398 | Jun 8, 2018 | SR-FINRA-2018-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish a Second Trade Reporting Facility in Conjunction With Nasdaq, Inc. |
| 34-83393 | Jun 7, 2018 | SR-FINRA-2018-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities View Received Comments See Also - Exhibit 5 |
| 34-83392 | Jun 7, 2018 | SR-FINRA-2018-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) See Also - Exhibit 5 |
| 34-83332 | May 25, 2018 | SR-FINRA-2018-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance See Also - Exhibit 5 |
| 34-83290 | May 18, 2018 | SR-FINRA-2018-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Definition of "Agency Debt Security" See Also - Exhibit 5 |
| 34-83276 | May 17, 2018 | SR-FINRA-2018-003 | Financial Industry Regulatory Authority (FINRA) | Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration |
| 34-83227 | May 14, 2018 | SR-FINRA-2018-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating To Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference View Received Comments |
| 34-83181 | May 7, 2018 | SR-FINRA-2018-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees See Also - Exhibit 5 |
| 34-83155 | May 2, 2018 | SR-FINRA-2018-017 | 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 View Received Comments |
| 34-83154 | May 2, 2018 | SR-FINRA-2018-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions |