Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-103033 | May 13, 2025 | SR-FINRA-2025-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131... Comments Due: July 22, 2025 View Received Comments Submit a Comment on SR-FINRA-2025-001
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| 34-102781 | Apr 7, 2025 | SR-FINRA-2025-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) View Received Comments See Also - Exhibit 5 |
| 34-102723 | Mar 25, 2025 | SR-FINRA-2025-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Exempt Certain Business Development Companies from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions) Comments Due: July 22, 2025 View Received Comments |
| 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 |
| 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 |