Financial Industry Regulatory Authority (FINRA) Rulemaking

We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
First Quarter

FINRA File Number List for 2021

Additional Archives

Chronological List for 2021

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Release No. Date Details
First Quarter
SR-FINRA-2020-037
34-91070 Feb. 5, 2021 Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Member Removal from the NAC with an Existing Provision in the FINRA By-Laws
SR-FINRA-2020-038
34-91066 Feb. 4, 2021 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 FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules' Filing Requirements
Comments due: 14 days after publication in the Federal Register
Rebuttal comments due: 24 days after publication in the Federal Register
SR-FINRA-2021-002
34-91047 Feb. 3, 2021 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: 21 days after publication in the Federal Register
SR-FINRA-2019-008
34-90939 Jan. 15, 2021 Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2021-001
34-90887 Jan. 11, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
Comments due: February 5, 2021
Additional Materials: Exhibit 5
SR-FINRA-2020-046
34-90852 Jan. 5, 2021 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: February 1, 2021

File Number List for 2021

Release No. Date Details
SR-FINRA-2021-002
34-91047 Feb. 3, 2021 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: 21 days after publication in the Federal Register
SR-FINRA-2021-001
34-90887 Jan. 11, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements
Comments due: February 5, 2021
Additional Materials: Exhibit 5