Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-105226 | Apr 14, 2026 | SR-FINRA-2025-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin... Comments Due: 21 days after publication in the Federal Register. View Received Comments Submit a Comment on SR-FINRA-2025-017
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| 34-105163 | Apr 7, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions) Comments Due: May 1, 2026 See Also - Exhibit 5 |
| 34-105109 | Mar 30, 2026 | SR-FINRA-2026-006 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6272 (Character of Quotations) to Modify the Operation of the Alternative Display Facility in Light of SEC Regulation NMS’s New Requirements Related to the... Comments Due: April 23, 2026 See Also - Exhibit 5 |
| 34-104912 | Mar 2, 2026 | SR-FINRA-2026-005 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) to Provide a Limited, Temporary Exception from Reporting Specified Overnight Transactions Prior to 8:00 a.m. Eastern Time Comments Due: March 26, 2026 See Also - Exhibit 5 |
| 34-104877 | Feb 20, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: March 18, 2026 View Received Comments |
| 34-104830 | Feb 12, 2026 | SR-FINRA-2025-003 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) View Received Comments |
| 34-104806 | Feb 10, 2026 | SR-FINRA-2025-005 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules View Received Comments |
| 34-104746 | Jan 29, 2026 | SR-FINRA-2026-001 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3290 (Outside Activities Requirements) Comments Due: February 24, 2026 View Received Comments |
| 34-104732 | Jan 28, 2026 | SR-FINRA-2025-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Time for Commission Action on a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin Standards Comments Due: 21 days after publication in the Federal Register. View Received Comments |
| 34-104703 | Jan 28, 2026 | SR-FINRA-2026-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees for Non-Participants) Comments Due: February 23, 2026 See Also - Exhibit 5 |