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-2018-015 | ||
| 34-83422 | Jun. 13, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Size Pilot as Permanent |
| SR-FINRA-2018-024 | ||
| 34-83407 | Jun. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Security Futures Risk Disclosure Statement to Reflect the T+2 Settlement Cycle, Incorporate Prior Supplements, and Make Other Non-Substantive Changes
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3a, Exhibit 3b |
| SR-FINRA-2018-013 | ||
| 34-83398 | Jun. 8, 2018 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. |
| SR-FINRA-2018-023 | ||
| 34-83393 | Jun. 7, 2018 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2018-022 | ||
| 34-83392 | Jun. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2018-021 | ||
| 34-83332 | May 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance
Comments due: June 21, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-020 | ||
| 34-83290 | May 18, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Definition of "Agency Debt Security"
Comments due: June 14, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-003 | ||
| 34-83276 | May 17, 2018 | Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration |
| SR-FINRA-2018-019 | ||
| 34-83227 | May 14, 2018 | Notice of Filing of a Proposed Rule Change Relating to Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference
Comments due: June 8, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-018 | ||
| 34-83181 | May 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees
Comments due: June 1, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-016 | ||
| 34-83154 | May 2, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: May 29, 2018 |
| SR-FINRA-2018-017 | ||
| 34-83155 | May 2, 2018 | 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: May 29, 2018 |
| SR-FINRA-2018-015 | ||
| 34-83129 | Apr. 30, 2018 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Comments due: May 29, 2018 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2018-014 | ||
| 34-83098 | Apr. 24, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Temporary Exception that Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Comments due: May 21, 2018 Additional Materials: Exhibit 5 |
| 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: May 17, 2018 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-2018-024 | ||
| 34-83407 | Jun. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Security Futures Risk Disclosure Statement to Reflect the T+2 Settlement Cycle, Incorporate Prior Supplements, and Make Other Non-Substantive Changes
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3a, Exhibit 3b |
| SR-FINRA-2018-023 | ||
| 34-83393 | Jun. 7, 2018 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2018-022 | ||
| 34-83392 | Jun. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2018-021 | ||
| 34-83332 | May 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance
Comments due: June 21, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-020 | ||
| 34-83290 | May 18, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Definition of "Agency Debt Security"
Comments due: June 14, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-019 | ||
| 34-83227 | May 14, 2018 | Notice of Filing of a Proposed Rule Change Relating to Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference
Comments due: June 8, 2018 Comments received are available for this proposal. |
| SR-FINRA-2018-018 | ||
| 34-83181 | May 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees
Comments due: June 1, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-017 | ||
| 34-83155 | May 2, 2018 | 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: May 29, 2018 |
| SR-FINRA-2018-016 | ||
| 34-83154 | May 2, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: May 29, 2018 |
| SR-FINRA-2018-015 | ||
| 34-83422 | Jun. 13, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Size Pilot as Permanent |
| 34-83129 | Apr. 30, 2018 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
Comments due: May 29, 2018 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2018-014 | ||
| 34-83098 | Apr. 24, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Temporary Exception that Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Comments due: May 21, 2018 Additional Materials: Exhibit 5 |
| SR-FINRA-2018-013 | ||
| 34-83398 | Jun. 8, 2018 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. |
| 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: May 17, 2018 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 | ||
| 34-83276 | May 17, 2018 | Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration |
| 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 |