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 |
|---|---|---|---|---|
| 34-94942 | May 18, 2022 | SR-FINRA-2022-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) To Align the Code With the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 Comments Due: 21 days after publication in the Federal Register Submit a Comment on SR-FINRA-2022-012
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| 34-94891 | May 11, 2022 | SR-FINRA-2022-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 5 Submit a Comment on SR-FINRA-2022-011 |
| 34-94710 | Apr 13, 2022 | SR-FINRA-2022-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) Comments Due: May 10, 2022 View Received Comments See Also - Exhibit 5 |
| 34-94673 | Apr 11, 2022 | SR-FINRA-2022-008 | 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: May 6, 2022 View Received Comments See Also - Exhibit 5 |
| 34-94654 | Apr 8, 2022 | SR-FINRA-2022-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change To Amend Certain FINRA Rules To Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals Comments Due: May 5, 2022 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-FINRA-2022-009 |
| 34-94643 | Apr 8, 2022 | SR-FINRA-2022-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2360 (Options) To Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds Comments Due: May 5, 2022 View Received Comments See Also - Exhibit 5 |
| 34-94498 | Mar 23, 2022 | SR-FINRA-2022-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility Comments Due: April 20, 2022 See Also - Exhibit 5 |
| 34-94428 | Mar 16, 2022 | SR-FINRA-2022-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) Comments Due: April 12, 2022 See Also - Exhibit 5 |
| 34-94430 | Mar 16, 2022 | SR-FINRA-2022-004 | 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: April 12, 2022 |
| 34-94365 | Mar 4, 2022 | SR-FINRA-2021-030 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting of Corporate Bond Trades That Are Part of a Larger Portfolio Trade Comments Due: March 31, 2022 Submit a Comment on SR-FINRA-2021-030 |