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 |
|---|---|---|---|---|
| 34-75783 | Aug 28, 2015 | SR-FINRA-2015-017 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories See Also - Rel. No. 34-75394 |
| 34-75757 | Aug 25, 2015 | SR-FINRA-2015-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook |
| 34-75697 | Aug 13, 2015 | SR-FINRA-2015-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative To Publish OTC Equity Volume Executed Outside ATSs See Also - Rel. No. 34-76078, Rel. No. 34-75356 |
| 34-75655 | Aug 10, 2015 | SR-FINRA-2015-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook View Received Comments See Also - Exhibit 5, Rel. No. 34-77550, Rel. No. 34-77103, Rel. No. 34-76430 |
| 34-75639 | Aug 7, 2015 | SR-FINRA-2015-028 | 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 |
| 34-75633 | Aug 6, 2015 | SR-FINRA-2015-009 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Adopt FINRA Rule 2272 To Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or Their Dependents See Also - Rel. No. 34-74890 |
| 34-75629 | Aug 6, 2015 | SR-FINRA-2015-019 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders See Also - Rel. No. 34-75333 |
| 34-75588 | Aug 3, 2015 | SR-FINRA-2015-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up/Mark-Down View Received Comments See Also - Rel. No. 34-76176, Rel. No. 34-75875 |
| 34-75581 | Jul 31, 2015 | SR-FINRA-2015-015 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements See Also - Rel. No. 34-75154 |
| 34-75560 | Jul 30, 2015 | SR-FINRA-2015-027 | 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 |