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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 2017

Additional Archives

NASD


Chronological List
Release No. Date Details
First Quarter

SR-FINRA-2017-001
34-79752 Jan. 6, 2017 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5


FINRA File Number List for 2017
Release No. Date Details

SR-FINRA-2017-001
34-79752 Jan. 6, 2017 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/finra.shtml


Modified: 01/09/2017