Financial Industry Regulatory Authority (FINRA) Rulemaking
We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
First Quarter
FINRA File Number List for 2021
Additional Archives
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| First Quarter | ||
| SR-FINRA-2020-037 | ||
| 34-91070 | Feb. 5, 2021 | Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Member Removal from the NAC with an Existing Provision in the FINRA By-Laws |
| SR-FINRA-2020-038 | ||
| 34-91066 | Feb. 4, 2021 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules' Filing Requirements
Comments due: 14 days after publication in the Federal Register Rebuttal comments due: 24 days after publication in the Federal Register |
| SR-FINRA-2021-002 | ||
| 34-91047 | Feb. 3, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2019-008 | ||
| 34-90939 | Jan. 15, 2021 | Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Establish a Corporate Bond New Issue Reference Data Service |
| SR-FINRA-2021-001 | ||
| 34-90887 | Jan. 11, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
Comments due: February 5, 2021 Additional Materials: Exhibit 5 |
| SR-FINRA-2020-046 | ||
| 34-90852 | Jan. 5, 2021 | 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: February 1, 2021 |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-FINRA-2021-002 | ||
| 34-91047 | Feb. 3, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2021-001 | ||
| 34-90887 | Jan. 11, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
Comments due: February 5, 2021 Additional Materials: Exhibit 5 |