Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Third Quarter |  Second Quarter |  First Quarter

FINRA File Number List for 2018

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Chronological List for 2018

Release No. Date Details
Third Quarter
SR-FINRA-2018-030
34-83868 Aug. 17, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2018-029
34-83866 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5
SR-FINRA-2018-031
34-83863 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2010-056
34-83856 Aug. 15, 2018 Order Granting Petition for Review and Scheduling Filing of Statements
SR-FINRA-2018-028
34-83825 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3a, Exhibit 3b
SR-FINRA-2018-023
34-83815 Aug. 9, 2018 Order Approving a Proposed Rule Change Relating to ATS Reporting to TRACE of Transactions in U.S. Treasury Securities
SR-FINRA-2018-027
34-83781 Aug. 6, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA's Enforcement Operations
Comments due: August 31, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-015
34-83753 Jul. 31, 2018 Order Granting Approval of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
SR-FINRA-2018-019
34-83752 Jul. 31, 2018 Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-FINRA-2018-023
34-83722 Jul. 26, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
SR-FINRA-2018-026
34-83699 Jul. 24, 2018 Notice of Filing of a Proposed Rule Change to Amend the Arbitrator Payment Rule to Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
Comments due: August 20, 2018
Comments received are available for this proposal.
Second Quarter
SR-FINRA-2018-013
34-83559 Jun. 29, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Second Trade Reporting Facility
SR-FINRA-2018-025
34-83474 Jun. 20, 2018 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: July 17, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-015
34-83422 Jun. 13, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Size Pilot as Permanent
SR-FINRA-2018-024
34-83407 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Security Futures Risk Disclosure Statement to Reflect the T+2 Settlement Cycle, Incorporate Prior Supplements, and Make Other Non-Substantive Changes
Comments due: July 6, 2018
Additional Materials: Exhibit 3a, Exhibit 3b
SR-FINRA-2018-013
34-83398 Jun. 8, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
SR-FINRA-2018-023
34-83393 Jun. 7, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
Comments due: July 5, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2018-022
34-83392 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size
Comments due: July 5, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-021
34-83332 May 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance
Comments due: June 21, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-020
34-83290 May 18, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Definition of "Agency Debt Security"
Comments due: June 14, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-003
34-83276 May 17, 2018 Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration
SR-FINRA-2018-019
34-83227 May 14, 2018 Notice of Filing of a Proposed Rule Change Relating to Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference
Comments due: June 8, 2018
Comments received are available for this proposal.
SR-FINRA-2018-018
34-83181 May 7, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees
Comments due: June 1, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-016
34-83154 May 2, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: May 29, 2018
SR-FINRA-2018-017
34-83155 May 2, 2018 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: May 29, 2018
SR-FINRA-2018-015
34-83129 Apr. 30, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Comments due: May 29, 2018
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2018-014
34-83098 Apr. 24, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Temporary Exception that Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Comments due: May 21, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-013
34-83082 Apr. 20, 2018 Notice of Filing of a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
Comments due: May 17, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-FINRA-2018-012
34-82829 Mar. 8, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eliminate the Fee for an Explained Decision
Comments due:  April 4, 2018
Comments received are available for this proposal.
SR-FINRA-2018-011
34-82774 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Comments due: March 23, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-010
34-82772 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Comments due: March 23, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-007
34-82754 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
Comments due: March 20, 2018
SR-FINRA-2018-006
34-82752 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Comments due: March 20, 2018
SR-FINRA-2018-005
34-82751 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Comments due: March 20, 2018
SR-FINRA-2018-004
34-82750 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018
SR-FINRA-2018-009
34-82748 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Comments due: March 20, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-008
34-82747 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Comments due: March 20, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-003
34-82693 Feb. 12, 2018 Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration
Comments due: March 9, 2018
Comments received are available for this proposal.
SR-FINRA-2018-004
34-82750 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018
SR-FINRA-2018-002
34-82578 Jan. 24, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination
Comments due:  February 20, 2018
SR-FINRA-2017-013
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-FINRA-2017-011
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-FINRA-2018-001
34-82480 Jan. 10, 2018 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: February 7, 2018
Additional Materials: Exhibit 5
SR-FINRA-2017-036
34-82441 Jan. 4, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
Comments due: January 31, 2018
Additional Materials: Exhibit 5


FINRA File Number List for 2018

Release No. Date Details
SR-FINRA-2018-031
34-83863 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2018-030
34-83868 Aug. 17, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2018-029
34-83866 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5
SR-FINRA-2018-028
34-83825 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3a, Exhibit 3b
SR-FINRA-2018-027
34-83781 Aug. 6, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA's Enforcement Operations
Comments due: August 31, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-026
34-83699 Jul. 24, 2018 Notice of Filing of a Proposed Rule Change to Amend the Arbitrator Payment Rule to Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
Comments due: August 20, 2018
Comments received are available for this proposal.
SR-FINRA-2018-025
34-83474 Jun. 20, 2018 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: July 17, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-024
34-83407 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Security Futures Risk Disclosure Statement to Reflect the T+2 Settlement Cycle, Incorporate Prior Supplements, and Make Other Non-Substantive Changes
Comments due: July 6, 2018
Additional Materials: Exhibit 3a, Exhibit 3b
SR-FINRA-2018-023
34-83815 Aug. 9, 2018 Order Approving a Proposed Rule Change Relating to ATS Reporting to TRACE of Transactions in U.S. Treasury Securities
34-83722 Jul. 26, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
34-83393 Jun. 7, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
Comments due: July 5, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2018-022
34-83392 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size
Comments due: July 5, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-021
34-83332 May 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance
Comments due: June 21, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-020
34-83290 May 18, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Definition of "Agency Debt Security"
Comments due: June 14, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-019
34-83752 Jul. 31, 2018 Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference
34-83227 May 14, 2018 Notice of Filing of a Proposed Rule Change Relating to Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference
Comments due: June 8, 2018
Comments received are available for this proposal.
SR-FINRA-2018-018
34-83181 May 7, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees
Comments due: June 1, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-017
34-83155 May 2, 2018 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: May 29, 2018
SR-FINRA-2018-016
34-83154 May 2, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: May 29, 2018
SR-FINRA-2018-015
34-83753 Jul. 31, 2018 Order Granting Approval of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
34-83422 Jun. 13, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Size Pilot as Permanent
34-83129 Apr. 30, 2018 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Comments due: May 29, 2018
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2018-014
34-83098 Apr. 24, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Temporary Exception that Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Comments due: May 21, 2018
Additional Materials: Exhibit 5
SR-FINRA-2018-013
34-83559 Jun. 29, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Second Trade Reporting Facility
34-83398 Jun. 8, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
34-83082 Apr. 20, 2018 Notice of Filing of a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
Comments due: May 17, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2018-012
34-82829 Mar. 8, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eliminate the Fee for an Explained Decision
Comments due:  April 4, 2018
Comments received are available for this proposal.
SR-FINRA-2018-011
34-82774 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Comments due: March 23, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-010
34-82772 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Comments due: March 23, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-009
34-82748 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Comments due: March 20, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-008
34-82747 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Comments due: March 20, 2018
Additional Materials: Exhibit 3a, Exhibit 3c
SR-FINRA-2018-007
34-82754 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
Comments due: March 20, 2018
SR-FINRA-2018-006
34-82752 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Comments due: March 20, 2018
SR-FINRA-2018-005
34-82751 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Comments due: March 20, 2018
SR-FINRA-2018-004
34-82750 Feb. 21, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018
SR-FINRA-2018-003
34-83276 May 17, 2018 Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration
34-82693 Feb. 12, 2018 Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration
Comments due: March 9, 2018
Comments received are available for this proposal.
SR-FINRA-2018-002
34-82578 Jan. 24, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination
Comments due:  February 20, 2018
SR-FINRA-2018-001
34-82480 Jan. 10, 2018 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: February 7, 2018
Additional Materials: Exhibit 5