Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-FINRA-2025-009
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| 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 |
| 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 |
| 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: October 8, 2025. Rebuttal Comments Due: October 22, 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: on or before October 7, 2025. Rebuttal comments should be submitted on or before October 21, 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 |