Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-106797 | Nov 2, 2026 | SR-FINRA-2026-023 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) to Establish an Interim Program of Regulatory Element Continuing Education Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 Submit a Comment on SR-FINRA-2026-023
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| 34-106731 | Oct 26, 2026 | SR-FINRA-2026-022 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Binary Options, Options Whose Payout is Based on Specified Metrics, and Options Cleared by a Registered Clearing Agency Other than The Options... Comments Due: November 19, 2026 See Also - Exhibit 5 |
| 34-106675 | Oct 15, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: December 4, 2026 View Received Comments |
| 34-106576 | Oct 2, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue... View Received Comments |
| 34-106410 | Sep 18, 2026 | SR-FINRA-2026-020 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Implementation Schedule of Amendments to Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 as Modified in SR-FINRA-2025-007 Comments Due: October 14, 2026 See Also - Exhibit 3, Exhibit 5 |
| 34-106409 | Sep 18, 2026 | SR-FINRA-2026-021 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Pause Assessment of the Trading Activity Fee Comments Due: October 14, 2026 See Also - Exhibit 5 |
| 34-106381 | Sep 15, 2026 | SR-FINRA-2026-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Adopt FINRA Rule 3290 (Outside Activities Requirements) View Received Comments |
| 34-106275 | Sep 3, 2026 | SR-FINRA-2026-018 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and to Adopt FINRA... Comments Due: September 30, 2026 View Received Comments |
| 34-106269 | Sep 3, 2026 | SR-FINRA-2026-019 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments Comments Due: September 30, 2026 View Received Comments See Also - Exhibit 5 |
| 34-106259 | Sep 2, 2026 | SR-FINRA-2026-016 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) |