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 |
|---|---|---|---|---|
| 34-76639 | Dec 14, 2015 | SR-FINRA-2015-033 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 0150 To Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities See Also - Rel. No. 34-76059 |
| 34-76556 | Dec 4, 2015 | SR-FINRA-2015-053 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees See Also - Exhibit 3, Exhibit 5 |
| 34-76532 | Dec 1, 2015 | SR-FINRA-2015-050 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| 34-76519 | Nov 24, 2015 | SR-FINRA-2015-051 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) See Also - Exhibit 5 |
| 34-76484 | Nov 19, 2015 | SR-FINRA-2015-048 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change 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 View Received Comments See Also - Exhibit 5, Rel. No. 34-76854, Rel. No. 34-77164 |
| 34-76483 | Nov 19, 2015 | SR-FINRA-2015-047 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change 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 View Received Comments See Also - Exhibit 5, Rel. No. 34-77218, Rel. No. 34-76855 |
| 34-76444 | Nov 16, 2015 | SR-FINRA-2015-034 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. See Also - Rel. No. 34-76670, Rel. No. 34-76082 |
| 34-76430 | Nov 12, 2015 | SR-FINRA-2015-029 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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. 34-77103, Rel. No. 34-75655 |
| 34-76391 | Nov 9, 2015 | SR-FINRA-2015-044 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Examination Fee for the Securities Trader Qualification Examination (Series 57) |
| 34-76385 | Nov 6, 2015 | SR-FINRA-2015-045 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7640A (Data Products Offered by Nasdaq) |