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
Fourth Quarter |
Third Quarter |
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 |
|---|---|---|
| Fourth Quarter | ||
| SR-FINRA-2019-025 | ||
| 34-87344 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the 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-2019-008 | ||
| 34-87232 | Oct. 4, 2019 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Corporate Bond New Issue Reference Data Service
Comments due: October 24, 2019 |
| SR-FINRA-2019-024 | ||
| 34-87205 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-FINRA-2019-023 | ||
| 34-87078 | Sep. 24, 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: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-017 | ||
| 34-86700A | Sep. 4, 2019 | Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports); Correction |
| SR-FINRA-2019-017 | ||
| 34-86700 | Aug. 16, 2019 | Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) |
| SR-FINRA-2019-022 | ||
| 34-86558 | Aug. 2, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: August 29, 2019 Comments received are available for this proposal. |
| SR-FINRA-2019-012 | ||
| 34-86509 | Jul. 29, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: August 23, 2019 Rebuttal comments due: September 16, 2019 Comments received are available for this proposal. |
| SR-FINRA-2019-021 | ||
| 34-86479 | Jul. 25, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: August 21, 2019 |
| SR-FINRA-2019-018 | ||
| 34-86328 | Jul. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules
Comments due: August 2, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-019 | ||
| 34-86315 | Jul. 5, 2019 | Notice of Filing of a Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comments due: August 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-FINRA-2019-017 | ||
| 34-86257 | Jul. 1, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
Comments due: July 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-008 | ||
| 34-86256 | Jul. 1, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: July 29, 2019 Rebuttal comments due: August 12, 2019 |
| SR-FINRA-2019-014 | ||
| 34-86178 | Jun. 21, 2019 | Order Approving Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction |
| SR-FINRA-2019-014 | ||
| 34-86101 | Jun. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction |
| SR-FINRA-2019-012 | ||
| 34-86091 | Jun. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes |
| SR-FINRA-2019-016 | ||
| 34-85981 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: June 27, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-008 | ||
| 34-85911 | May 22, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service |
| SR-FINRA-2019-004 | ||
| 34-85781 | May 6, 2019 | Order Approving 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 |
| SR-FINRA-2019-015 | ||
| 34-85764 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the FINRA Manual to Reflect FINRA's New Subsidiary, FINRA CAT, LLC
Comments due: May 29, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-012 | ||
| 34-85715 | Apr. 25, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: May 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-014 | ||
| 34-85713 | Apr. 24, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
Comments due: May 21, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-013 | ||
| 34-85685 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 15, 2019 Additional Materials: Exhibit 5 |
| 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: May 8, 2019 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: May 7, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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: May 3, 2019 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 Comments received are available for this proposal. |
| 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-2019-025 | ||
| 34-87344 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the 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-2019-024 | ||
| 34-87205 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620B to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-023 | ||
| 34-87078 | Sep. 24, 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: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-022 | ||
| 34-86558 | Aug. 2, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)
Comments due: August 29, 2019 Comments received are available for this proposal. |
| SR-FINRA-2019-021 | ||
| 34-86479 | Jul. 25, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: August 21, 2019 |
| SR-FINRA-2019-019 | ||
| 34-86315 | Jul. 5, 2019 | Notice of Filing of a Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA's Website
Comments due: August 1, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-018 | ||
| 34-86328 | Jul. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules
Comments due: August 2, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-017 | ||
| 34-86700A | Sep. 4, 2019 | Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports); Correction |
| 34-86700 | Aug. 16, 2019 | Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) |
| 34-86257 | Jul. 1, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
Comments due: July 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-016 | ||
| 34-85981 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: June 27, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-015 | ||
| 34-85764 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the FINRA Manual to Reflect FINRA's New Subsidiary, FINRA CAT, LLC
Comments due: May 29, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-014 | ||
| 34-86178 | Jun. 21, 2019 | Order Approving Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction |
| 34-86101 | Jun. 13, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction |
| 34-85713 | Apr. 24, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
Comments due: May 21, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-013 | ||
| 34-85685 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 15, 2019 Additional Materials: Exhibit 5 |
| SR-FINRA-2019-012 | ||
| 34-86509 | Jul. 29, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: August 23, 2019 Rebuttal comments due: September 16, 2019 Comments received are available for this proposal. |
| 34-86091 | Jun. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes |
| 34-85715 | Apr. 25, 2019 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes
Comments due: May 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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: May 8, 2019 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: May 3, 2019 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: May 7, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2019-008 | ||
| 34-87232 | Oct. 4, 2019 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Corporate Bond New Issue Reference Data Service
Comments due: October 24, 2019 |
| 34-86256 | Jul. 1, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
Comments due: July 29, 2019 Rebuttal comments due: August 12, 2019 |
| 34-85911 | May 22, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service |
| 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 Comments received are available for this proposal. |
| 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 | ||
| 34-85781 | May 6, 2019 | Order Approving 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 |
| 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 |