Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-102232 | Jun 11, 2025 | SR-FINRA-2025-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Implementation Schedule of Amendments to Section 7 of Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 Comments Due: July 8, 2025 See Also - Exhibit 5 Submit a Comment on SR-FINRA-2025-007
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| 34-103226 | Jun 11, 2025 | SR-FINRA-2025-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) Comments Due: July 8, 2025 View Received Comments |
| 34-103216 | Jun 10, 2025 | SR-FINRA-2025-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules Comments Due: July 7, 2025 View Received Comments |
| 34-103094 | May 20, 2025 | SR-FINRA-2025-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) View Received Comments |
| 34-103033 | May 13, 2025 | SR-FINRA-2025-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131... Comments Due: July 22, 2025 View Received Comments |
| 34-102781 | Apr 7, 2025 | SR-FINRA-2025-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) View Received Comments See Also - Exhibit 5 |
| 34-102723 | Mar 25, 2025 | SR-FINRA-2025-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions) Comments Due: July 22, 2025 View Received Comments |
| 34-102641 | Mar 12, 2025 | SR-FINRA-2024-021 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) to Accelerate the Processing of Arbitration... Comments Due: April 22, 2025 View Received Comments |
| 34-102559 | Mar 10, 2025 | SR-FINRA-2024-022 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical, and Procedural Changes to the Arbitrator List Selection Process Comments Due: April 4, 2025 Rebuttal comments: April 18, 2025 View Received Comments |
| 34-102542 | Mar 7, 2025 | SR-FINRA-2022-032 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: April 3, 2025 View Received Comments |