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 2018
Additional Archives
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-FINRA-2018-013 | ||
| 34-83082 | Apr. 20, 2018 | Notice of Filing of a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-FINRA-2018-012 | ||
| 34-82829 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eliminate the Fee for an Explained Decision
Comments due: April 4, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-011 | ||
| 34-82774 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Comments due: March 23, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-010 | ||
| 34-82772 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Comments due: March 23, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-007 | ||
| 34-82754 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-006 | ||
| 34-82752 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-005 | ||
| 34-82751 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Comments due: March 20, 2018 |
| SR-FINRA-2018-004 | ||
| 34-82750 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-009 | ||
| 34-82748 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Comments due: March 20, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-008 | ||
| 34-82747 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Comments due: March 20, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-003 | ||
| 34-82693 | Feb. 12, 2018 | Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration
Comments due: March 9, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-004 | ||
| 34-82750 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-002 | ||
| 34-82578 | Jan. 24, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination
Comments due: February 20, 2018 |
| SR-FINRA-2017-013 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-FINRA-2017-011 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| SR-FINRA-2018-001 | ||
| 34-82480 | Jan. 10, 2018 | 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 7, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2017-036 | ||
| 34-82441 | Jan. 4, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
Comments due: January 31, 2018 Additional Materials: Exhibit 5 |
FINRA File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-FINRA-2018-013 | ||
| 34-83082 | Apr. 20, 2018 | Notice of Filing of a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2018-012 | ||
| 34-82829 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eliminate the Fee for an Explained Decision
Comments due: April 4, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-011 | ||
| 34-82774 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
Comments due: March 23, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-010 | ||
| 34-82772 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Comments due: March 23, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-009 | ||
| 34-82748 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
Comments due: March 20, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-008 | ||
| 34-82747 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
Comments due: March 20, 2018 Additional Materials: Exhibit 3a, Exhibit 3c |
| SR-FINRA-2018-007 | ||
| 34-82754 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-006 | ||
| 34-82752 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-005 | ||
| 34-82751 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
Comments due: March 20, 2018 |
| SR-FINRA-2018-004 | ||
| 34-82750 | Feb. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
Comments due: March 20, 2018 |
| SR-FINRA-2018-003 | ||
| 34-82693 | Feb. 12, 2018 | Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration
Comments due: March 9, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-002 | ||
| 34-82578 | Jan. 24, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination
Comments due: February 20, 2018 |
| SR-FINRA-2018-001 | ||
| 34-82480 | Jan. 10, 2018 | 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 7, 2018 Additional Materials: Exhibit 5 |