Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-100960 | Sep 6, 2024 | SR-FINRA-2024-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Withdrawal of Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail View Received Comments Submit a Comment on SR-FINRA-2024-002
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| 34-100920 | Sep 4, 2024 | SR-FINRA-2024-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From Comments Due: October 1, 2024 View Received Comments See Also - Exhibit 5 |
| 34-100881 | Aug 30, 2024 | SR-FINRA-2024-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Th Comments Due: September 26, 2024 View Received Comments See Also - Exhibit 5 |
| 34-100787 | Aug 21, 2024 | SR-FINRA-2024-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and View Received Comments See Also - Exhibit 5, Exhibit 4 |
| 34-100655 | Aug 5, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) Comments Due: September 13, 2024 View Received Comments |
| 34-100628 | Jul 31, 2024 | SR-BOX-2024-03, SR-BX-2024-002, SR-C2-2024-002, SR-CBOE-2024-003, SR-CboeBYX-2024-002, SR-CboeBZX-2024-004, SR-CboeEDGA-2024-002, SR-CboeEDGX-2024-005, SR-EMERALD-2024-01, SR-FINRA-2024-002, SR-GEMX-2024-02, SR-IEX-2024-01, SR-ISE-2024-02, SR-LTSE-2024-02, SR-MEMX-2024-01, SR-MIAX-2024-02, SR-MRX-2024-01, SR-NASDAQ-2024-001, SR-NYSE-2024-03, SR-NYSEAMER-2024-02, SR-NYSEARCA-2024-02, SR-NYSECHX-2024-02, SR-NYSENAT-2024-01, SR-PEARL-2024-01, SR-PEARL-2024-02, SR-Phlx-2024-01 | BOX Exchange LLC (BOX), Nasdaq BX, Inc. (BX), Cboe C2 Exchange, Inc. (C2), Cboe Exchange, Inc. (CBOE), Cboe BYX Exchange, Inc. (CboeBYX), Cboe BZX Exchange, Inc. (CboeBZX), Cboe EDGA Exchange, Inc. (CboeEDGA), Cboe EDGX Exchange, Inc. (CboeEDGX), MIAX Emerald, LLC (EMERALD), Financial Industry Regulatory Authority (FINRA), Nasdaq GEMX, LLC (GEMX), Investors Exchange LLC (IEX), Nasdaq ISE, LLC (ISE), Long-Term Stock Exchange, Inc. (LTSE), MEMX LLC (MEMX), Miami International Securities Exchange, LLC (MIAX), Nasdaq MRX, LLC (MRX), The Nasdaq Stock Market LLC (NASDAQ), New York Stock Exchange LLC (NYSE), NYSE American LLC (NYSEAMER), NYSE Arca (NYSEARCA), NYSE Chicago, Inc. (NYSECHX), NYSE National, Inc. (NYSENAT), MIAX PEARL, LLC (PEARL), Nasdaq PHLX LLC (Phlx) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan G View Received Comments |
| 34-100627 | Jul 31, 2024 | SR-FINRA-2024-003 | 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 Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Go View Received Comments Submit a Comment on Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change |
| 34-100594 | Jul 25, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6730 to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: August 21, 2024 Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| 34-100561 | Jul 19, 2024 | SR-FINRA-2023-016 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers and View Received Comments See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Meredith Cordisco, Associate General Counsel, FINRA, dated July 26, 2024 |
| 34-100555 | Jul 18, 2024 | SR-FINRA-2024-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minu |