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 |
|---|---|---|---|---|
| 34-103515 | Jul 22, 2025 | SR-FINRA-2025-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) View Received Comments Submit a Comment on SR-FINRA-2025-008
|
| 34-103491 | Jul 17, 2025 | SR-FINRA-2025-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6860 of FINRA’s Compliance Rule to be Consistent with the Exemptive Relief Granted by the Commission from Certain Provisions Related to Timestamp Granularity Comments Due: August 12, 2025 See Also - Exhibit 5 |
| 34-103435 | Jul 11, 2025 | SR-FINRA-2025-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) to Extend the Trade Reporting Facilities Operating Hours Comments Due: August 6, 2025 See Also - Exhibit 5 |
| 34-103373 | Jul 2, 2025 | SR-FINRA-2025-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Cost Recovery Fee Related to Reasonably Budgeted Costs of the National Market System Plan Governing the... Comments Due: July 29, 2025 View Received Comments See Also - Exhibit 5 |
| 34-103372 | Jul 2, 2025 | SR-FINRA-2025-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan... Comments Due: July 29, 2025 See Also - Exhibit 5 |
| 34-103334 | Jun 26, 2025 | SR-FINRA-2025-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase... Comments Due: July 22, 2025 View Received Comments |
| 34-103325 | Jun 25, 2025 | SR-FINRA-2025-002 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) View Received Comments |
| 34-103285 | Jun 17, 2025 | SR-FINRA-2025-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Effectiveness of Certain Immediately Effective FINRA Sanctions and Actions Comments Due: July 14, 2025 View Received Comments See Also - Exhibit 5 |
| 34-103270 | Jun 16, 2025 | SR-FINRA-2025-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) Comments Due: July 11, 2025 View Received Comments See Also - Exhibit 5a |
| 34-103228 | Jun 11, 2025 | SR-FINRA-2025-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions Comments Due: July 8, 2025 View Received Comments See Also - Exhibit 5 |