Financial Industry Regulatory Authority (FINRA) Rulemaking

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FINRA File Number List for 2017

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Chronological List for 2017

Release No. Date Details
Third Quarter
SR-FINRA-2017-020
34-81616 Sep. 14, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-81275, Notice: Rel. No. 34-81053
Additional File No.: SR-CHX-2017-11
SR-FINRA-2017-025
34-81572 Sep. 11, 2017 Order Approving a Proposed Rule Change Relating to the Definition of Non-public Arbitrator
See also: Notice: Rel. No. 34-81196
SR-FINRA-2017-013
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-80783
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-2017-028
34-81488 Aug. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a New Electronic Form 211
Comments due: September 22, 2017
SR-FINRA-2017-026
34-81448 Aug. 21, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-rights" or "Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017
SR-FINRA-2017-027
34-81438 Aug. 18, 2017 Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
Comments due: September 14, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-021
34-81318 Aug. 4, 2017 Order Approving Proposed Rule Change to Make Available a New TRACE Security Activity Report
See also: Notice: Rel. No. 34-81007
SR-FINRA-2017-020
34-81275 Aug. 1, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
See also: Notice: Rel. No. 34-81053, Notice: Rel. No. 34-81616
SR-FINRA-2017-025
34-81196 Jul. 24, 2017 Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-public Arbitrator
Comments due: August 18, 2017
See also: Order: Rel. No. 34-34-81572
Comments received are available for this proposal.
SR-FINRA-2017-013
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80783, Notice: Rel. No. 34-81499
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, 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-2017-024
34-81139 Jul. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to FINRA Rules
Comments due: August 9, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-015
34-81114 Jul. 11, 2017 Order Granting Approval of Proposed Rule Change to Make Available a New End-of-Day TRACE Transaction File
See also: Notice: Rel. No. 34-80805
SR-FINRA-2017-007
34-81098 Jul. 7, 2017 Order Approving Proposed Rule Change to Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements
See also: Notice: Rel. No. 34-80371
Second Quarter
SR-FINRA-2017-011
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Order: Rel. No. 34-80710
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-FINRA-2017-011; 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
Comments received are available for this proposal.
SR-FINRA-2017-020
34-81053 Jun. 29, 2017 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
Comments due: July 27, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81275, Notice: Rel. No. 34-81616
Comments received are available for this proposal.
SR-FINRA-2017-019
34-81035 Jun. 27, 2017 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 24, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-023
34-81018 Jun. 26, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities
Comments due: July 21, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-022
34-81009 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain TRACE Reporting Fees
Comments due: July 20, 2017
SR-FINRA-2017-021
34-81007 Jun. 23, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
Comments due: July 20, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-81318
Comments received are available for this proposal.
SR-FINRA-2017-018
34-80975 Jun. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
Comments due: July 17, 2017
SR-FINRA-2017-009
34-80973 Jun. 19, 2017 Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration
See also: Notice: Rel. No. 34-80634
SR-FINRA-2017-016
34-80843 Jun. 1, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
Comments due: June 28, 2017
SR-FINRA-2017-015
34-80805 May 30, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-013
34-80783 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-FINRA-2017-014
34-80727 May 18, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: June 14, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-011
34-80710 May 17, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 13, 2017
Additional Materials: Appendix, Exhibit 5
See also: Order: Rel. No. 34-81067
Comments received are available for this proposal.
SR-FINRA-2017-012
34-80685 May 16, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
Comments due: June 12, 2017
Additional Materials: Exhibit 2, Exhibit 5
SR-FINRA-2017-010
34-80646 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-009
34-80634 May 9, 2017 Notice of Filing of a Proposed Rule Change Relating to Expediting List Selection in Arbitration
Comments due: June 5, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80973
Comments received are available for this proposal.
SR-FINRA-2017-006
34-80551 Apr. 28, 2017 Order Granting Approval of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
See also: Order: Rel. No. 34-80193
SR-FINRA-2017-007
34-80371 Apr. 4, 2017 Notice of Filing of a Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
Comments due: May 1, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-FINRA-2017-008
34-80321 Mar. 28, 2017 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: April 24, 2017
SR-FINRA-2017-003
34-80255 Mar. 15, 2017 Order Approving Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
See also: Notice: Rel. No. 34-79961
SR-FINRA-2017-006
34-80193 Mar. 9, 2017 Notice of Filing of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-005
34-80179 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-004
34-80105 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-FINRA-2016-047
34-80004A Feb. 9, 2017 Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to conform to the Commission’s Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2
See also: Notice: Rel. No. 34-79648
SR-FINRA-2017-003
34-79961 Feb. 3, 2017 Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Comments due: March 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2016-039
34-79964 Feb. 3, 2017 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1
Comments due: March 2, 2017
See also: Notice: Rel.No. 34-79215
SR-FINRA-2017-001
34-79752 Jan. 6, 2017 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 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.


FINRA File Number List for 2017

Release No. Date Details
SR-FINRA-2017-028
34-81488 Aug. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a New Electronic Form 211
Comments due: September 22, 2017
SR-FINRA-2017-027
34-81438 Aug. 18, 2017 Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
Comments due: September 14, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-026
34-81448 Aug. 21, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities "Ex-Dividend," "Ex-rights" or "Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017
SR-FINRA-2017-025
34-81572 Sep. 11, 2017 Order Approving a Proposed Rule Change Relating to the Definition of Non-public Arbitrator
34-81196 Jul. 24, 2017 Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-public Arbitrator
Comments due: August 18, 2017
Comments received are available for this proposal.
SR-FINRA-2017-024
34-81139 Jul. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to FINRA Rules
Comments due: August 9, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-023
34-81018 Jun. 26, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities
Comments due: July 21, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-022
34-81009 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain TRACE Reporting Fees
Comments due: July 20, 2017
SR-FINRA-2017-021
34-81318 Aug. 4, 2017 Order Approving Proposed Rule Change to Make Available a New TRACE Security Activity Report
34-81007 Jun. 23, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
Comments due: July 20, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-020
34-81616 Sep. 14, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
Additional File No.: SR-CHX-2017-11
34-81275 Aug. 1, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
34-81053 Jun. 29, 2017 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
Comments due: July 27, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-019
34-81035 Jun. 27, 2017 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 24, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-018
34-80975 Jun. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
Comments due: July 17, 2017
SR-FINRA-2017-016
34-80843 Jun. 1, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
Comments due: June 28, 2017
SR-FINRA-2017-015
34-81114 Jul. 11, 2017 Order Granting Approval of Proposed Rule Change to Make Available a New End-of-Day TRACE Transaction File
34-80805 May 30, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
Comments due: June 26, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-014
34-80727 May 18, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of
Comments due: June 14, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-013
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
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
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes 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-IEX-2017-18, SR-ISE-2017-46, 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
34-80783 May 26, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-012
34-80685 May 16, 2017 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
Comments due: June 12, 2017
Additional Materials: Exhibit 2, Exhibit 5
SR-FINRA-2017-011
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
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-FINRA-2017-011; 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
Comments received are available for this proposal.
34-80710 May 17, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 13, 2017
Additional Materials: Appendix, Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-010
34-80646 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-009
34-80973 Jun. 19, 2017 Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration
34-80634 May 9, 2017 Notice of Filing of a Proposed Rule Change Relating to Expediting List Selection in Arbitration
Comments due: June 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-008
34-80321 Mar. 28, 2017 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: April 24, 2017
SR-FINRA-2017-007
34-81098 Jul. 7, 2017 Order Approving Proposed Rule Change to Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements
34-80371 Apr. 4, 2017 Notice of Filing of a Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
Comments due: May 1, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-006
34-80551 Apr. 28, 2017 Order Granting Approval of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
34-80193 Mar. 9, 2017 Notice of Filing of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-005
34-80179 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 4, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-004
34-80105 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-FINRA-2017-003
34-80255 Mar. 15, 2017 Order Approving Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
34-79961 Feb. 3, 2017 Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Comments due: March 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FINRA-2017-001
34-79752 Jan. 6, 2017 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 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.