Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Second Quarter |  First Quarter

FINRA File Number List for 2023

Additional Archives

Chronological List for 2023

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Release No. Date Details
Second Quarter
SR-FINRA-2022-031
34-97629 May 31, 2023 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
SR-FINRA-2023-008
34-97403 Apr. 28, 2023 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-007
34-97398 Apr. 28, 2023 Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-FINRA-2022-033
34-97291 Apr. 12, 2023 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 Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: May 9, 2023 Federal Register
Rebuttal comments due: May 23, 2023 Federal Register
SR-FINRA-2022-024
34-97294 Apr. 12, 2023 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: May 10, 2023 Federal Register
First Quarter
SR-FINRA-2023-006
34-97237 Mar. 31, 2023 Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: April 27, 2023 Federal Register
Comments received are available for this proposal.
SR-FINRA-2022-032
34-97195 Mar. 24, 2023 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
SR-FINRA-2023-005
34-97184 Mar. 22, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-003
34-97181 Mar. 21, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2023-004
34-97104 Mar. 10, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86/87) Examination
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-002
34-97062 Mar. 7, 2023 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: April 3, 2023
SR-FINRA-2022-031
34-97039 Mar. 3, 2023 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Comments due: March 30, 2023
Rebuttal comments due: April 13, 2023
SR-FINRA-2022-032
34-96864 Feb. 9, 2023 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2022-015
34-96798 Feb. 3, 2023 Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm
SR-FINRA-2023-001
34-96746 Jan. 25, 2023 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-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: February 21, 2023
SR-FINRA-2022-031
34-96699 Jan. 18, 2023 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
SR-FINRA-2022-033
34-96607 Jan. 6, 2023 Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: February 2, 2023
Comments received are available for this proposal.

File Number List for 2023

Release No. Date Details
SR-FINRA-2023-008
34-97403 Apr. 28, 2023 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-007
34-97398 Apr. 28, 2023 Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-FINRA-2023-006
34-97237 Mar. 31, 2023 Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: April 27, 2023 Federal Register
Comments received are available for this proposal.
SR-FINRA-2023-005
34-97184 Mar. 22, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-004
34-97104 Mar. 10, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86/87) Examination
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2023-003
34-97181 Mar. 21, 2023 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2023-002
34-97062 Mar. 7, 2023 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: April 3, 2023
SR-FINRA-2023-001
34-96746 Jan. 25, 2023 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-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: February 21, 2023