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

Chronological List for 2020

(Search any column)
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