Financial Industry Regulatory Authority (FINRA) Rulemaking

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Chronological List
Second Quarter |  First Quarter

FINRA File Number List for 2018

Additional Archives

NASD

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