Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 Submit a Comment on SR-FINRA-2024-018
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| 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 |
| 34-101064 | Sep 17, 2024 | SR-FINRA-2024-014 | 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 Historical Consolidated Audit Trail Recovery Assessment Comments Due: October 15, 2024 View Received Comments See Also - Exhibit 5 |
| 34-101065 | Sep 17, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements View Received Comments |
| 34-101052 | Sep 17, 2024 | SR-FINRA-2024-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question Comments Due: October 15, 2024 See Also - Exhibit 3a, Exhibit 3b |
| 34-101012 | Sep 12, 2024 | SR-FINRA-2024-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Comments Due: October 9, 2024 View Received Comments See Also - Exhibit 5 |