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 2019

Additional Archives

NASD

Chronological List for 2019

Release No. Date Details
First Quarter
SR-FINRA-2019-002
34-85112 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2019-005
34-85083 Feb. 8, 2019 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: 21 days after publication in the Federal Register
SR-FINRA-2019-003
34-85073 Feb. 7, 2019 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2019-004
34-85063 Feb. 6, 2019 Notice of Filing of a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-FINRA-2019-001
34-85062 Feb. 6, 2019 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2018-040
34-85003 Jan. 30, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2018-039
34-84982 Jan. 11, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)


FINRA File Number List for 2019

Release No. Date Details
SR-FINRA-2019-005
34-85083 Feb. 8, 2019 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: 21 days after publication in the Federal Register
SR-FINRA-2019-004
34-85063 Feb. 6, 2019 Notice of Filing of a Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-FINRA-2019-003
34-85073 Feb. 7, 2019 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FINRA-2019-002
34-85112 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register
SR-FINRA-2019-001
34-85062 Feb. 6, 2019 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5