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
Second Quarter |
First Quarter
FINRA File Number List for 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-FINRA-2019-011 | ||
| 34-85612 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-009 | ||
| 34-85589 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-010 | ||
| 34-85547 | Apr. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-007 | ||
| 34-85499 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7640B, Data Products Offered By NYSE
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-008 | ||
| 34-85488 | Apr. 2, 2019 | Notice of Filing of a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: April 29, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| First Quarter | ||
| SR-FINRA-2019-003 | ||
| 34-85420 | Mar. 26, 2019 | Order Approving Proposed Rule Change to Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities |
| SR-FINRA-2019-006 | ||
| 34-85413 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Comments due: April 22, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-040 | ||
| 34-85282 | Mar. 11, 2019 | Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) |
| SR-FINRA-2018-039 | ||
| 34-85209 | Feb. 27, 2019 | Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) |
| 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: March 12, 2019 |
| 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: March 7, 2019 |
| 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: March 6, 2019 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: March 5, 2019 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: March 5, 2019 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-2019-011 | ||
| 34-85612 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-010 | ||
| 34-85547 | Apr. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-009 | ||
| 34-85589 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2019-008 | ||
| 34-85488 | Apr. 2, 2019 | Notice of Filing of a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: April 29, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-FINRA-2019-007 | ||
| 34-85499 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7640B, Data Products Offered By NYSE
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-006 | ||
| 34-85413 | Mar. 26, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Comments due: April 22, 2019 Additional Materials: Exhibit 5 |
| 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: March 7, 2019 |
| 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: March 5, 2019 Comments received are available for this proposal. |
| SR-FINRA-2019-003 | ||
| 34-85420 | Mar. 26, 2019 | Order Approving Proposed Rule Change to Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities |
| 34-85073 | Feb. 7, 2019 | Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Comments due: March 6, 2019 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: March 12, 2019 |
| 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: March 5, 2019 Additional Materials: Exhibit 5 |