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 |
|---|---|---|---|---|
| 34-100006 | Apr 22, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register. View Received Comments Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| 34-99991 | Apr 18, 2024 | SR-FINRA-2024-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) Comments Due: May 15, 2024 See Also - Exhibit 5 Submit a Comment on SR-FINRA-2024-005
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| 34-99988 | Apr 18, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements. View Received Comments |
| 34-99696 | Mar 8, 2024 | SR-FINRA-2023-010 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments |
| 34-99640 | Feb 29, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute View Received Comments Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| 34-99588 | Feb 22, 2024 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Comments Due: March 20, 2024. Rebuttal comments should be submitted on or before by April 3, 2024. View Received Comments See Also - Exhibit 4, Exhibit 5 |
| 34-99487 | Feb 7, 2024 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments |
| 34-99404 | Jan 19, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: March 10, 2024 View Received Comments See Also - Exhibit 5 Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| 34-99372 | Jan 17, 2024 | SR-FINRA-2024-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disa Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024. View Received Comments See Also - Exhibit 5 Submit a Comment on Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change |
| 34-99363 | Jan 17, 2024 | SR-FINRA-2024-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspens Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024. View Received Comments See Also - Exhibit 5 |