Financial Industry Regulatory Authority (FINRA) Rulemaking
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Chronological List
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First Quarter
FINRA File Number List for 2022
Additional Archives
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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:
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| 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. |