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 2020
Additional Archives
2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List for 2020
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| Release No. | Date | Details |
|---|---|---|
| First Quarter | ||
| SR-FINRA-2019-027 | ||
| 34-88254 | Feb. 20, 2020 | Order Approving a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive |
| SR-FINRA-2020-005 | ||
| 34-88251 | Feb. 20, 2020 | Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2019-008 | ||
| 34-88214 | Feb. 14, 2020 | Order Granting Petition for Review and Scheduling Filing of Statements |
| SR-FINRA-2020-004 | ||
| 34-88135 | Feb. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants That Use the FINRA/Nasdaq Trade Reporting Facility Comments due: March 4, 2020 Additional Materials: Exhibit 5 |
| SR-FINRA-2020-003 | ||
| 34-88077 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date for Eliminating Computer-to-Computer Interface as a Technological Option for TRACE Reporting
Comments due: February 25, 2020 |
| SR-FINRA-2020-002 | ||
| 34-88037 | Jan. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 11900 to Except Certain Transactions in Corporate Debt Securities
Comments due: February 20, 2020 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-FINRA-2020-001 | ||
| 34-88023 | Jan. 23, 2020 | 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: February 19, 2020 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-FINRA-2020-005 | ||
| 34-88251 | Feb. 20, 2020 | Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2020-004 | ||
| 34-88135 | Feb. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants That Use the FINRA/Nasdaq Trade Reporting Facility Comments due: March 4, 2020 Additional Materials: Exhibit 5 |
| SR-FINRA-2020-003 | ||
| 34-88077 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date for Eliminating Computer-to-Computer Interface as a Technological Option for TRACE Reporting
Comments due: February 25, 2020 |
| SR-FINRA-2020-002 | ||
| 34-88037 | Jan. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 11900 to Except Certain Transactions in Corporate Debt Securities
Comments due: February 20, 2020 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-FINRA-2020-001 | ||
| 34-88023 | Jan. 23, 2020 | 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: February 19, 2020 |