Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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... View Received Comments Submit a Comment on SR-FINRA-2024-021
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| 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 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 |
| 34-102093 | Jan 2, 2025 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATETM)) View Received Comments |
| 34-102062 | Dec 31, 2024 | SR-FINRA-2024-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Consolidated Audit Trail Cost Recovery Fee Comments Due: January 27, 2025 See Also - Exhibit 5, Rule 19b-4 Information |
| 34-102053 | Dec 30, 2024 | SR-FINRA-2024-023 | 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 Prospective Costs of the National Market System Plan Governing the C Comments Due: January 27, 2025 View Received Comments See Also - Exhibit-19b4, Exhibit 5 |
| 34-101993 | Dec 19, 2024 | SR-FINRA-2024-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical, and Procedural Changes to the Arbitrator List Selection Process View Received Comments |
| 34-101957 | Dec 18, 2024 | SR-FINRA-2024-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of 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 Proceedings for Parties Who Qualify Based on Their Age or Heal View Received Comments |
| 34-101697 | Nov 21, 2024 | SR-FINRA-2024-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees in FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE™)) Comments Due: December 18, 2024 View Received Comments See Also - Exhibit 5 |
| 34-101696 | Nov 21, 2024 | SR-FINRA-2024-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA’s Regulatory Mission Comments Due: December 18, 2024 See Also - Exhibit 3, Exhibit 5 |