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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 2015

Additional Archives

NASD


Chronological List
Release No. Date Details
First Quarter

SR-FINRA-2014-028
34-74383 Feb. 26, 2015 Order Approving a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
See also: Order: Rel. No. 34-73277, Notice: Rel. No. 34-72491

SR-FINRA-2015-004
34-74349 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2014-048
34-74340 Feb. 20, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 0 days after publication in the Federal Register
See also: Notice: Rel. No. 34-73623

SR-FINRA-2014-047
34-74339 Feb. 20, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 0 days after publication in the Federal Register
See also: Notice: Rel. No. 34-73622

SR-FINRA-2015-003
34-74289 Feb. 18, 2015 Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase the Late Cancellation Fee
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2015-002
34-74251 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: March 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 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 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2014-030
34-74021 Jan. 9, 2015 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
See also: Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575


FINRA File Number List for 2015
Release No. Date Details

SR-FINRA-2015-004
34-74349 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2015-003
34-74289 Feb. 18, 2015 Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase the Late Cancellation Fee
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2015-002
34-74251 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Comments due: March 11, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-001
34-74049 Jan. 14, 2015 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 11, 2015
Additional Materials: Exhibit 5

 

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


Modified: 02/26/2015