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 |
|---|---|---|---|---|
| 34-77175 | Feb 18, 2016 | SR-FINRA-2016-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies View Received Comments See Also - Exhibit 5, Rel. No. 34-77551 |
| 34-77158 | Feb 17, 2016 | SR-FINRA-2016-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) View Received Comments |
| 34-77164 | Feb 17, 2016 | SR-FINRA-2015-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Exemptive Order |
| 34-77103 | Feb 10, 2016 | SR-FINRA-2015-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook See Also - Rel. No. 34-77550, Rel. No. 34-76430, Rel. No. 34-75655 |
| 34-77098 | Feb 9, 2016 | SR-FINRA-2015-059 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) See Also - Rel. No. 34-76813 |
| 34-77015 | Feb 2, 2016 | SR-FINRA-2016-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator View Received Comments |
| 34-76970 | Jan 22, 2016 | SR-FINRA-2015-040 | Financial Industry Regulatory Authority (FINRA) | Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Funding Portal Rules and Related Forms and Rule 4518 See Also - Amendment No. 1 |
| 34-76931 | Jan 19, 2016 | SR-FINRA-2016-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information See Also - Exhibit 5 |
| 34-76908 | Jan 14, 2016 | SR-FINRA-2015-036 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1 View Received Comments See Also - Rel. No. 34-78081, Rel. No. 34-76148, Rel. No. 34-77579 |
| 34-76855 | Jan 7, 2016 | SR-FINRA-2015-47 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Adopt FINRA Rule 6191(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program See Also - Rel. No. 34-77218, Rel. No. 34-76483 |