Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-105925 | Jul 16, 2026 | SR-FINRA-2026-016 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 Submit a Comment on SR-FINRA-2026-016
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| 34-105922 | Jul 15, 2026 | SR-FINRA-2026-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6300 Series (Trade Reporting Facilities) to Extend the Trade Reporting Facilities Operating Hours to 23 Hours Per Day, Five Days Per Week Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 |
| 34-105885 | Jul 13, 2026 | SR-FINRA-2026-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1210 (Registration Requirements) Comments Due: August 6, 2026 See Also - Exhibit 5 |
| 34-105873 | Jul 9, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130... Comments Due: August 4, 2026. Rebuttal Comments Due: August 18, 2026. View Received Comments |
| 34-105845 | Jul 2, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: July 28, 2026 View Received Comments |
| 34-105829 | Jul 1, 2026 | SR-FINRA-2026-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Except Accounts Pursuant to Section 530A of the Internal Revenue Code from the Requirements of FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) Comments Due: July 28, 2026 View Received Comments |
| 34-105824 | Jun 30, 2026 | SR-FINRA-2026-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) View Received Comments |
| 34-105648 | Jun 10, 2026 | SR-FINRA-2026-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to... View Received Comments |
| 34-105524 | May 20, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: July 28, 2026 View Received Comments |
| 34-105487 | May 14, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Specified Collective Trust Funds from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue ... Comments Due: August 4, 2026. Rebuttal Comments Due: August 18, 2026. View Received Comments |