Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

FINRA File Number List for 2019

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Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-FINRA-2019-025
34-87344 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2019-008
34-87232 Oct. 4, 2019 Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Corporate Bond New Issue Reference Data Service
Comments due: October 24, 2019
SR-FINRA-2019-024
34-87205 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: October 30, 2019
Additional Materials: Exhibit 5
Third Quarter
SR-FINRA-2019-023
34-87078 Sep. 24, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: October 21, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-017
34-86700A Sep. 4, 2019 Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports); Correction
SR-FINRA-2019-017
34-86700 Aug. 16, 2019 Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
SR-FINRA-2019-022
34-86558 Aug. 2, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: August 29, 2019
Comments received are available for this proposal.
SR-FINRA-2019-012
34-86509 Jul. 29, 2019 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: August 23, 2019
Rebuttal comments due: September 16, 2019
Comments received are available for this proposal.
SR-FINRA-2019-021
34-86479 Jul. 25, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: August 21, 2019
SR-FINRA-2019-018
34-86328 Jul. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules
Comments due: August 2, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-019
34-86315 Jul. 5, 2019 Notice of Filing of a Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comments due: August 1, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Second Quarter
SR-FINRA-2019-017
34-86257 Jul. 1, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
Comments due: July 29, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-008
34-86256 Jul. 1, 2019 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: July 29, 2019
Rebuttal comments due: August 12, 2019
SR-FINRA-2019-014
34-86178 Jun. 21, 2019 Order Approving Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
SR-FINRA-2019-014
34-86101 Jun. 13, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
SR-FINRA-2019-012
34-86091 Jun. 12, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
SR-FINRA-2019-016
34-85981 May 31, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-008
34-85911 May 22, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2019-004
34-85781 May 6, 2019 Order Approving a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2019-015
34-85764 May 2, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the FINRA Manual to Reflect FINRA's New Subsidiary, FINRA CAT, LLC
Comments due: May 29, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-012
34-85715 Apr. 25, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: May 22, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-014
34-85713 Apr. 24, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
Comments due: May 21, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-013
34-85685 Apr. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 15, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-011
34-85612 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-009
34-85589 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA rules
Comments due: May 7, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-010
34-85547 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 3, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-007
34-85499 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7640B, Data Products Offered By NYSE
Comments due: April 30, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-008
34-85488 Apr. 2, 2019 Notice of Filing of a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: April 29, 2019
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-FINRA-2019-003
34-85420 Mar. 26, 2019 Order Approving Proposed Rule Change to Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities
SR-FINRA-2019-006
34-85413 Mar. 26, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Comments due: April 22, 2019
Additional Materials: Exhibit 5
SR-FINRA-2018-040
34-85282 Mar. 11, 2019 Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2018-039
34-85209 Feb. 27, 2019 Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)
SR-FINRA-2019-002
34-85112 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
Comments due: March 12, 2019
SR-FINRA-2019-005
34-85083 Feb. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: March 7, 2019
SR-FINRA-2019-003
34-85073 Feb. 7, 2019 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Comments due: March 6, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-004
34-85063 Feb. 6, 2019 Notice of Filing of a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Comments due: March 5, 2019
Comments received are available for this proposal.
SR-FINRA-2019-001
34-85062 Feb. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: March 5, 2019
Additional Materials: Exhibit 5
SR-FINRA-2018-040
34-85003 Jan. 30, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2018-039
34-84982 Jan. 11, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)


FINRA File Number List for 2019

Release No. Date Details
SR-FINRA-2019-025
34-87344 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2019-024
34-87205 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-023
34-87078 Sep. 24, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: October 21, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-022
34-86558 Aug. 2, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: August 29, 2019
Comments received are available for this proposal.
SR-FINRA-2019-021
34-86479 Jul. 25, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: August 21, 2019
SR-FINRA-2019-019
34-86315 Jul. 5, 2019 Notice of Filing of a Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comments due: August 1, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-018
34-86328 Jul. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules
Comments due: August 2, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-017
34-86700A Sep. 4, 2019 Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports); Correction
34-86700 Aug. 16, 2019 Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
34-86257 Jul. 1, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
Comments due: July 29, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-016
34-85981 May 31, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-015
34-85764 May 2, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the FINRA Manual to Reflect FINRA's New Subsidiary, FINRA CAT, LLC
Comments due: May 29, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-014
34-86178 Jun. 21, 2019 Order Approving Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
34-86101 Jun. 13, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction
34-85713 Apr. 24, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
Comments due: May 21, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-013
34-85685 Apr. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 15, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-012
34-86509 Jul. 29, 2019 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: August 23, 2019
Rebuttal comments due: September 16, 2019
Comments received are available for this proposal.
34-86091 Jun. 12, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
34-85715 Apr. 25, 2019 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: May 22, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-011
34-85612 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-010
34-85547 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 3, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-009
34-85589 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA rules
Comments due: May 7, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-008
34-87232 Oct. 4, 2019 Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Corporate Bond New Issue Reference Data Service
Comments due: October 24, 2019
34-86256 Jul. 1, 2019 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: July 29, 2019
Rebuttal comments due: August 12, 2019
34-85911 May 22, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
34-85488 Apr. 2, 2019 Notice of Filing of a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: April 29, 2019
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2019-007
34-85499 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7640B, Data Products Offered By NYSE
Comments due: April 30, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-006
34-85413 Mar. 26, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Comments due: April 22, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-005
34-85083 Feb. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: March 7, 2019
SR-FINRA-2019-004
34-85781 May 6, 2019 Order Approving a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
34-85063 Feb. 6, 2019 Notice of Filing of a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Comments due: March 5, 2019
Comments received are available for this proposal.
SR-FINRA-2019-003
34-85420 Mar. 26, 2019 Order Approving Proposed Rule Change to Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities
34-85073 Feb. 7, 2019 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Comments due: March 6, 2019
Additional Materials: Exhibit 5
SR-FINRA-2019-002
34-85112 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
Comments due: March 12, 2019
SR-FINRA-2019-001
34-85062 Feb. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Comments due: March 5, 2019
Additional Materials: Exhibit 5