Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-81572 | Sep 11, 2017 | SR-FINRA-2017-025 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator See Also - Rel. No. 34-81196 |
| 34-81499 | Aug 30, 2017 | SR-PEARL-2017-23, SR-NYSEMKT-2017-30, SR-NYSEMKT-2017-29, SR-NYSEArca-2017-59, SR-NYSEArca-2017-57, SR-NYSE-2017-23, SR-NASDAQ-2017-055, SR-MIAX-2017-20, SR-ISE-2017-46, SR-IEX-2017-18, SR-FINRA-2017-013, SR-CBOE-2017-041, SR-C2-2017-018, SR-BX-2017-027, SR-BOX-2017-17, SR-BatsEDGX-2017-23, SR-BatsBZX-2017-37 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Financial Industry Regulatory Authority (FINRA), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats BZX Exchange, Inc. (BatsBZX) | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-81145, Rel. No. 34-80795, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, Rel. No. 34-80790, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80814, Rel. No. 34-80799, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793, Rel. No. 34-80794, Rel. No. 34-80811 |
| 34-81488 | Aug 28, 2017 | SR-FINRA-2017-028 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a New Electronic Form 211 |
| 34-81448 | Aug 21, 2017 | SR-FINRA-2017-026 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Application of FINRA Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-rights" or "Ex-Warrants") in Connection With the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 |
| 34-81438 | Aug 18, 2017 | SR-FINRA-2017-027 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) See Also - Exhibit 5, Rel. No. 34-81781 |
| 34-81318 | Aug 4, 2017 | SR-FINRA-2017-021 | Financial Industry Regulatory Authority (FINRA) | Order Approving Proposed Rule Change To Make Available a New TRACE Security Activity Report See Also - Rel. No. 34-81007 |
| 34-81275 | Aug 1, 2017 | SR-FINRA-2017-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution) See Also - Rel. No. 34-81053, Rel. No. 34-81616 |
| 34-81196 | Jul 24, 2017 | SR-FINRA-2017-025 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator View Received Comments See Also - Rel. No. 34-34-81572 |
| 34-81145 | Jul 14, 2017 | SR-PHLX-2017-43, SR-PEARL-2017-23, SR-NYSEMKT-2017-30, SR-NYSEMKT-2017-29, SR-NYSEArca-2017-59, SR-NYSEArca-2017-57, SR-NYSE-2017-23, SR-NASDAQ-2017-055, SR-MIAX-2017-20, SR-ISE-2017-46, SR-IEX-2017-18, SR-FINRA-2017-013, SR-CBOE-2017-041, SR-C2-2017-018, SR-BX-2017-027, SR-BOX-2017-17, SR-BatsEDGX-2017-23, SR-BatsBZX-2017-37 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Financial Industry Regulatory Authority (FINRA), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats BZX Exchange, Inc. (BatsBZX) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Eliminate Requirements That Will Be Duplicative of CAT View Received Comments See Also - Rel. No. 34-82524, Rel. No. 34-82135, Rel. No. 34-80795, Rel. No. 34-81499, Rel. No. 34-80789, Rel. No. 34-80797, Rel. No. 34-80783, Rel. No. 34-80787, Rel. No. 34-80792, Rel. No. 34-80813, Rel. No. 34-80799, Rel. No. 34-80794, Rel. No. 34-80811, Rel. No. 34-80796, Rel. No. 34-80790, Rel. No. 34-80814, Rel. No. 34-80800, Rel. No. 34-80791, Rel. No. 34-80793 |
| 34-81139 | Jul 13, 2017 | SR-FINRA-2017-024 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to FINRA Rules See Also - Exhibit 5 |