Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Second Quarter |  First Quarter

FINRA File Number List for 2022

Additional Archives

Chronological List for 2022

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Release No. Date Details
Second Quarter
SR-FINRA-2022-012
34-94942 May 18, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2022-011
34-94891 May 11, 2022 Notice of Filing of a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 5
SR-FINRA-2022-010
34-94710 Apr. 13, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 10, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-008
34-94673 Apr. 11, 2022 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 6, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-009
34-94654 Apr. 8, 2022 Notice of Filing of a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals
Comments due: May 5, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-007
34-94643 Apr. 8, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds
Comments due: May 5, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-FINRA-2022-006
34-94498 Mar. 23, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: April 20, 2022
Additional Materials: Exhibit 5
SR-FINRA-2022-004
34-94430 Mar. 16, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: April 12, 2022
SR-FINRA-2022-005
34-94428 Mar. 16, 2022 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: April 12, 2022
Additional Materials: Exhibit 5
SR-FINRA-2021-030
34-94365 Mar. 4, 2022 Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting of Corporate Bond Trades That Are Part of a Larger Portfolio Trade
Comments due: March 31, 2022
SR-FINRA-2022-003
34-94356 Mar. 3, 2022 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 30, 2022
SR-FINRA-2022-002
34-94156 Feb. 4, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Transaction Query Fee for the FINRA/Nasdaq TRF
Comments due: March 3, 2022
Additional Materials: Exhibit 5
SR-FINRA-2021-016
34-94061 Jan. 25, 2022 Order Approving a Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults)
SR-FINRA-2022-001
34-94018 Jan. 20, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision)
Comments due: February 16, 2022
Comments received are available for this proposal.
SR-FINRA-2021-010
34-94013 Jan. 20, 2022 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
See also:
SR-FINRA-2021-030
34-94011 Jan. 20, 2022 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 to Require Members to Append Modifiers to Delayed Treasury Spot Trades and Portfolio Trades When Reporting to TRACE
SR-FINRA-2021-029
34-93966 Jan. 12, 2022 Order Approving Proposed Rule Change to Amend FINRA Rule 6732 and Expand the Scope of Exemptions that FINRA May Grant ATSs from the TRACE Reporting Requirements
SR-FINRA-2021-034
34-93928 Jan. 7, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws Relating to the Continuing Education Fees
Comments due: February 3, 2022
SR-FINRA-2021-008
34-93914 Jan. 6, 2022 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Security-Based Swaps
SR-FINRA-2021-024
34-93897 Jan. 4, 2022 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
Comments due: January 31, 2022
Rebuttal comments due: February 14, 2022

File Number List for 2022

Release No. Date Details
SR-FINRA-2022-012
34-94942 May 18, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2022-011
34-94891 May 11, 2022 Notice of Filing of a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 5
SR-FINRA-2022-010
34-94710 Apr. 13, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 10, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-009
34-94654 Apr. 8, 2022 Notice of Filing of a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals
Comments due: May 5, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal. s
SR-FINRA-2022-008
34-94673 Apr. 11, 2022 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 6, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-007
34-94643 Apr. 8, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds
Comments due: May 5, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2022-006
34-94669 Apr. 11, 2022 Notice of Withdrawal of Proposed Rule Changes to Establish Fees for the Exchanges' cToM Market Data Products
Additional File No.: SR-MIAX-2022-10
34-94498 Mar. 23, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: April 20, 2022
Additional Materials: Exhibit 5
SR-FINRA-2022-005
34-94428 Mar. 16, 2022 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: April 12, 2022
Additional Materials: Exhibit 5
SR-FINRA-2022-004
34-94430 Mar. 16, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: April 12, 2022
SR-FINRA-2022-003
34-94356 Mar. 3, 2022 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 30, 2022
SR-FINRA-2022-002
34-94156 Feb. 4, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Transaction Query Fee for the FINRA/Nasdaq TRF
Comments due: March 3, 2022
Additional Materials: Exhibit 5
SR-FINRA-2022-001
34-94018 Jan. 20, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision)
Comments due: February 16, 2022
Comments received are available for this proposal.