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
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
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 |