Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-105845 | Jul 2, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: July 28, 2026 View Received Comments Submit a Comment on SR-FINRA-2026-004
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| 34-105829 | Jul 1, 2026 | SR-FINRA-2026-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Except Accounts Pursuant to Section 530A of the Internal Revenue Code from the Requirements of FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) Comments Due: July 28, 2026 |
| 34-105824 | Jun 30, 2026 | SR-FINRA-2026-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) View Received Comments |
| 34-105648 | Jun 10, 2026 | SR-FINRA-2026-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to... View Received Comments |
| 34-105524 | May 20, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: July 28, 2026 View Received Comments |
| 34-105487 | May 14, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Specified Collective Trust Funds from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue ... View Received Comments |
| 34-105482 | May 13, 2026 | SR-FINRA-2026-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) View Received Comments See Also - Exhibit 5 |
| 34-105470 | May 13, 2026 | SR-FINRA-2026-011 | 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 Historical Costs of the National Market System Plan Governing the... Comments Due: June 8, 2026 See Also - Exhibit 5 |
| 34-105449 | May 12, 2026 | SR-FINRA-2026-010 | 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 Reasonably Budgeted CAT Costs of the National Market System Plan... Comments Due: June 5, 2026 See Also - Exhibit 5 |
| 34-105355 | May 1, 2026 | SR-FINRA-2026-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rule 3290 (Outside Activities Requirements) Comments Due: May 27, 2026. Rebuttal Comments Due: June 10, 2026. View Received Comments |