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 |
|---|---|---|---|---|
| 34-80975 | Jun 20, 2017 | SR-FINRA-2017-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities |
| 34-80973 | Jun 19, 2017 | SR-FINRA-2017-009 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration See Also - Rel. No. 34-80634 |
| 34-80843 | Jun 1, 2017 | SR-FINRA-2017-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A To Eliminate the No/Was Corrective Transaction Charge |
| 34-80805 | May 30, 2017 | SR-FINRA-2017-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Make Available a New End-of-Day TRACE Transaction File See Also - Exhibit 5 |
| 34-80783 | May 26, 2017 | SR-FINRA-2017-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Exhibit 5 |
| 34-80727 | May 18, 2017 | SR-FINRA-2017-014 | 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 |
| 34-80710 | May 17, 2017 | SR-FINRA-2017-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail View Received Comments See Also - Appendix, Exhibit 5, Rel. No. 34-82253, Rel. No. 34-82049, Rel. No. 34-81067 |
| 34-80685 | May 16, 2017 | SR-FINRA-2017-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities See Also - Exhibit 2, Exhibit 5 |
| 34-80646 | May 10, 2017 | SR-FINRA-2017-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exhibit 5 |
| 34-80634 | May 9, 2017 | SR-FINRA-2017-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating To Expediting List Selection in Arbitration View Received Comments See Also - Exhibit 5, Rel. No. 34-80973 |