Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Second Quarter |  First Quarter

FINRA File Number List for 2019

Additional Archives

NASD

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