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 |
|---|---|---|---|---|
| 34-96279 | Nov 9, 2022 | SR-FINRA-2022-025 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| 34-96241 | Nov 4, 2022 | SR-FINRA-2022-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision) Comments Due: December 1, 2022 View Received Comments Submit a Comment on SR-FINRA-2022-030
|
| 34-96191 | Oct 31, 2022 | SR-FINRA-2022-019 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 Comments Due: November 25, 2022 Rebuttal comments due: December 9, 2022 |
| 34-96107 | Oct 19, 2022 | SR-FINRA-2022-029 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 Comments Due: November 15, 2022 |
| 34-95990 | Oct 6, 2022 | SR-FINRA-2022-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) Comments Due: November 3, 2022 |
| 34-95939 | Sep 29, 2022 | SR-FINRA-2022-027 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: October 26, 2022 See Also - Exhibit 5 |
| 34-95937 | Sep 28, 2022 | SR-FINRA-2022-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| 34-95871 | Sep 22, 2022 | SR-FINRA-2022-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change References in the Codes of Arbitration Procedure From the Neutral List Selection System to the List Selection Algorithm Comments Due: 21 days after publication in the Federal Register |
| 34-95791 | Sep 15, 2022 | SR-FINRA-2022-015 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95635 | Aug 30, 2022 | SR-FINRA-2022-013 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) To Enhance TRACE Reporting Obligations for U.S. Treasury Securities |