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 |
|---|---|---|---|---|
| 34-95494 | Aug 12, 2022 | SR-FINRA-2022-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) To Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 2b, Exhibit 5 Submit a Comment on SR-FINRA-2022-025 |
| 34-95465 | Aug 10, 2022 | SR-FINRA-2022-011 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities |
| 34-95452 | Aug 9, 2022 | SR-FINRA-2022-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule 3110 (Supervision) Comments Due: 21 days after publication in the Federal Register View Received Comments Submit a Comment on SR-FINRA-2022-021
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| 34-95456 | Aug 9, 2022 | SR-FINRA-2022-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Comments Due: 21 days after publication in the Federal Register View Received Comments |
| 34-95455 | Aug 9, 2022 | SR-FINRA-2022-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information Comments Due: 21 days after publication in the Federal Register View Received Comments |
| 34-95454 | Aug 9, 2022 | SR-FINRA-2022-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules Comments Due: 21 days after publication in the Federal Register |
| 34-95438 | Aug 5, 2022 | SR-FINRA-2022-017 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change To Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities |
| 34-95379 | Jul 27, 2022 | SR-FINRA-2022-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) Comments Due: 21 days after publication in the Federal Register View Received Comments |
| 34-95322 | Jul 19, 2022 | SR-FINRA-2022-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-95281 | Jul 14, 2022 | SR-FINRA-2022-018 | 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-2020-015 and SR-FINRA-2020-027 Comments Due: 21 days after publication in the Federal Register View Received Comments |