Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 Submit a Comment on SR-FINRA-2024-022
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| 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 |
| 34-101645 | Nov 15, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |
| 34-101561 | Nov 7, 2024 | SR-FINRA-2024-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing Comments Due: December 5, 2024 |
| 34-101450 | Oct 28, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |
| 34-101449 | Oct 28, 2024 | SR-FINRA-2024-008 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists View Received Comments |
| 34-101336 | Oct 15, 2024 | SR-FINRA-2024-016 | 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: November 12, 2024 See Also - Exhibit 5 |
| 34-101121 | Sep 20, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |