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 2023
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List for 2023
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| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-FINRA-2022-031 | ||
| 34-97629 | May 31, 2023 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| SR-FINRA-2023-008 | ||
| 34-97403 | Apr. 28, 2023 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-007 | ||
| 34-97398 | Apr. 28, 2023 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-033 | ||
| 34-97291 | Apr. 12, 2023 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: May 9, 2023 Federal Register Rebuttal comments due: May 23, 2023 Federal Register |
| SR-FINRA-2022-024 | ||
| 34-97294 | Apr. 12, 2023 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: May 10, 2023 Federal Register |
| First Quarter | ||
| SR-FINRA-2023-006 | ||
| 34-97237 | Mar. 31, 2023 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: April 27, 2023 Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-032 | ||
| 34-97195 | Mar. 24, 2023 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-FINRA-2023-005 | ||
| 34-97184 | Mar. 22, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-003 | ||
| 34-97181 | Mar. 21, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2023-004 | ||
| 34-97104 | Mar. 10, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86/87) Examination
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-002 | ||
| 34-97062 | Mar. 7, 2023 | 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: April 3, 2023 |
| SR-FINRA-2022-031 | ||
| 34-97039 | Mar. 3, 2023 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Comments due: March 30, 2023 Rebuttal comments due: April 13, 2023 |
| SR-FINRA-2022-032 | ||
| 34-96864 | Feb. 9, 2023 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2022-015 | ||
| 34-96798 | Feb. 3, 2023 | Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm |
| SR-FINRA-2023-001 | ||
| 34-96746 | Jan. 25, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: February 21, 2023 |
| SR-FINRA-2022-031 | ||
| 34-96699 | Jan. 18, 2023 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| SR-FINRA-2022-033 | ||
| 34-96607 | Jan. 6, 2023 | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: February 2, 2023 Comments received are available for this proposal. |
File Number List for 2023
| Release No. | Date | Details |
|---|---|---|
| SR-FINRA-2023-008 | ||
| 34-97403 | Apr. 28, 2023 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1015, 9261, 9341, 9524, 9830 and Funding Portal Rule 900 (Code of Procedure) to Permit Hearings Under Those Rules to Be Conducted by Video Conference
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-007 | ||
| 34-97398 | Apr. 28, 2023 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2023-006 | ||
| 34-97237 | Mar. 31, 2023 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: April 27, 2023 Federal Register Comments received are available for this proposal. |
| SR-FINRA-2023-005 | ||
| 34-97184 | Mar. 22, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-004 | ||
| 34-97104 | Mar. 10, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Research Analyst (Series 86/87) Examination
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2023-003 | ||
| 34-97181 | Mar. 21, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2023-002 | ||
| 34-97062 | Mar. 7, 2023 | 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: April 3, 2023 |
| SR-FINRA-2023-001 | ||
| 34-96746 | Jan. 25, 2023 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: February 21, 2023 |