Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-99351 | Jan 16, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) Comments Due: February 12, 2024 View Received Comments Submit a Comment
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| 34-99335 | Jan 11, 2024 | SR-FINRA-2023-013 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations See Also - Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024 |
| 34-99331 | Jan 11, 2024 | Financial Industry Regulatory Authority (FINRA) | Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification |
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| 34-99304 | Jan 9, 2024 | SR-FINRA-2023-010 | 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 Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments |
| 34-99204 | Dec 19, 2023 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments |
| 34-99075 | Dec 4, 2023 | SR-FINRA-2023-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules 15c6-1 and 15c6-2 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Two Business Days after the Tr Comments Due: December 29, 2023 See Also - Exhibit 5 |
| 34-98977 | Nov 17, 2023 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications Comments Due: December 15, 2023 View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |
| 34-98982 | Nov 17, 2023 | SR-FINRA-2023-007 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) View Received Comments |
| 34-98980 | Nov 17, 2023 | SR-FINRA-2023-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments Due: December 15, 2023 View Received Comments |
| 34-98859 | Nov 3, 2023 | SR-FINRA-2023-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees Comments Due: November 30, 2023 View Received Comments See Also - Exhibit 5 |