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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
Third Quarter |  Second Quarter |  First Quarter

FINRA File Number List for 2016

Additional Archives

NASD


Chronological List
Release No. Date Details
Third Quarter

SR-FINRA-2016-023
34-78925 Sep. 23, 2016 Order Granting Approval of Proposed Rule Change Relating to TRACE Reporting and Dissemination of CMO Transactions
See also: Notice: Rel. No. 34-78196

SR-FINRA-2016-036
34-78851 Sep. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2016-022
34-78836 Sep. 14, 2016 Order Approving Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration
See also: Notice: Rel. No. 34-78279

SR-FINRA-2016-018
34-78823 Sep. 13, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78026

SR-FINRA-2016-035
34-78800 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due:  October 6, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-FINRA-2016-024
34-78759 Sep. 2, 2016 Order Granting Approval of Proposed Rule Change to Create an Academic Corporate Bond TRACE Data Product
See also: Notice: Rel. No. 34-78219

SR-FINRA-2016-033
34-78729 Aug. 30, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration
Comments due:  September 27, 2016
Comments received are available for this proposal.

SR-FINRA-2015-056
34-78683 Aug. 25, 2016 Order Approving a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules
See also: Order: Rel. No. 34-77465, Notice: Rel. No. 34-76767

SR-FINRA-2016-034
34-78660 Aug. 24, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
Comments due:  September 20, 2016

SR-FINRA-2015-054
34-78617 Aug. 18, 2016 Order Approving Rule Change as modified by Amendment Nos. 1 and 2 to Adopt FINRA Capital Acquisition Broker Rules
See also: Order: Rel. No. 34-78617Notice: Rel. No. 34-78220, Notice: Rel. No. 34-77581, Notice: Rel. No. 34-77391, Notice: Rel. No. 34-76675

SR-FINRA-2016-031
34-78609 Aug. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only
Comments due: September 14, 2016

SR-FINRA-2016-032
34-78573 Aug. 15, 2016 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Comments due: September 9, 2016
Additional Materials:  Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 2d, Exhibit 2e, Exhibit 2f, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-015
34-78557 Aug. 11, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration, as Modified by Amendment No. 1
Comments due: September 7, 2016

SR-FINRA-2016-030
34-78553 Aug. 11, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2016-029
34-78549 Aug. 11, 2016 Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and to Permit Mediation Parties to Use the Portal
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2016-028
34-78435 Jul. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: August 24, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-027
34-78359 Jul. 19, 2016 Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Comments due: August 15, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-026
34-78327 Jul. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: August 10, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-025
34-78281 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-022
34-78279 Jul. 11, 2016 Notice of Filing of a Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration
Comments due: August 5, 2016
See also: Order: Rel. No. 34-78836
Comments received are available for this proposal.

SR-FINRA-2016-021
34-78237 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Application of FINRA Rule 2210 ("Communications with the Public") to Debt Research Reports
Comments due: August 3, 2016
Additional Materials: Exhibit 5

SR-FINRA-2015-054
34-78220 Jul. 1, 2016 Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due: July 18, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Order: Rel. No. 34-78617Notice: Rel. No. 34-77581, Notice: Rel. No. 34-77391, Notice: Rel. No. 34-76675

SR-FINRA-2016-024
34-78219 Jul. 1, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
Comments due: July 28, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.
Second Quarter

SR-FINRA-2016-023
34-78196 Jun. 29, 2016 Notice of Filing of a Proposed Rule Change to Increase Transparency For CMO Transactions
Comments due: July 27, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-020
34-78182 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: July 26, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-019
34-78130 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Comments due:  July 19, 2016

SR-FINRA-2016-014
34-78094 Jun. 17, 2016 Order Approving Proposed Rule Change Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
See also: Notice: Rel. No. 34-77786

SR-FINRA-2015-036
34-78081 Jun. 15, 2016 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3
Comments due: July 12, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77579, Notice: Rel. No. 34-76908, Notice: Rel. No. 34-76148
Comments received are available for this proposal.

SR-FINRA-2016-018
34-78026 Jun. 9, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
Comments due: July 6, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78823
Comments received are available for this proposal.

SR-FINRA-2016-017
34-77963 June 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: June 28, 2016

SR-FINRA-2016-016
34-77923 May 26, 2016 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: June 23, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-015
34-77844 May 17, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration
Comments due:  June 13, 2016
Comments received are available for this proposal.

SR-FINRA-2016-010
34-77798 May 10, 2016 Order Approving a Proposed Rule Change to Adopt FINRA Rule 4554, Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks
See also: Notice: Rel. No. 34-77635, Notice: Rel. No. 34-77269

SR-FINRA-2016-014
34-77786 May 9, 2016 Notice of Filing of a Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
Comments due:  June 3, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78094
Comments received are available for this proposal.

SR-FINRA-2016-013
34-77726 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: May 24, 2016

SR-FINRA-2016-010
34-77635 Apr. 15, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
See also: Notice: Rel. No. 34-77269, Order: Rel. No. 34-77798

SR-FINRA-2015-054
34-77581 Apr. 11, 2016 Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due:  May 6, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also: Order: Rel. No. 34-78617Notice: Rel. No. 34-78220, Notice: Rel. No. 34-77391, Notice: Rel. No. 34-76675

SR-FINRA-2015-036
34-77579 Apr. 11, 2016 Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2
Comments due:  May 2, 2016
Additional Materials: Exhibit 4, Exhibit 5
See also:  Notice/Order: Rel. No. 34-78081;; Notice: Rel. No. 34-76908, Notice: Rel. No. 34-76148
Comments received are available for this proposal.

SR-FINRA-2016-005
34-77565 Apr. 8, 2016 Order Approving a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
See also: Notice: Rel. No. 34-77196

SR-FINRA-2016-007
34-77551 Apr. 7, 2016 Order Approving a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities
See also: Notice: Rel. No. 34-77175

SR-FINRA-2015-029
34-77550 Apr. 7, 2016 Order Approving Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-77103, Notice: Rel. No. 34-76430, Notice: Rel. No. 34-75655

SR-FINRA-2016-006
34-77523 Apr. 5, 2016 Order Approving a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
See also: Notice: Rel. No. 34-77180

SR-FINRA-2016-012
34-77505 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares ("NextShares"))
Comments due:  April 29, 2016
First Quarter

SR-FINRA-2015-056
34-77465 Mar. 29, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules
Comments due: April 25, 2016
Rebuttal comments due: May 19, 2016
See also: Order: Rel. No. 34-78683, Notice: Rel. No. 34-76767

SR-FINRA-2015-057
34-77430 Mar. 23, 2016 Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)
See also: Notice: Rel. No. 34-76757

SR-FINRA-2016-011
34-77404 Mar. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
Comments due:  April 14, 2016

SR-FINRA-2015-054
34-77391 Mar. 17, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules
Comments due:  April 13, 2016
Rebuttal comments due:  May 9, 2016
See also: Order: Rel. No. 34-78617Notice: Rel. No. 34-78220, Notice: Rel. No. 34-77581, Notice: Rel. No. 34-76675

SR-FINRA-2016-010
34-77269 Mar. 1, 2016 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Comments due: March 28, 2016
Additional Materials:  Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
See also: Order: Rel. No. 34-77635, Order: Rel. No. 34-77798
Comments received are available for this proposal.

SR-FINRA-2016-009
34-77243 Feb. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
Comments due:  March 24, 2016

SR-FINRA-2015-047
34-77218 Feb. 23, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: March 21, 2016
See also: Notice: Rel. No. 34-76855; Notice: Rel. No. 34-76483; Exemptive Letter

SR-FINRA-2016-004
34-77212 Feb. 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Comments due: March 21, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-005
34-77196 Feb. 19, 2016 Notice of Filing of a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77565
Comments received are available for this proposal.

SR-FINRA-2016-006
34-77180 Feb. 19, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
Comments due:  March 17, 2016

SR-FINRA-2016-007
34-77175 Feb. 18, 2016 Notice of Filing of a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
Comments due:  March 16, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77551
Comments received are available for this proposal.

SR-FINRA-2015-048
34-77164 Feb. 17, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  March 15, 2016
See also: Exemptive Order

SR-FINRA-2016-008
34-77158 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due:  March 15, 2016
Comments received are available for this proposal.

SR-FINRA-2015-029
34-77103 Feb. 10, 2016 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 Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook
See also: Order: Rel. No. 34-77550, Notice: Rel. No. 34-76430, Notice: Rel. No. 34-75655

SR-FINRA-2015-059
34-77098 Feb. 9, 2016 Order Approving a Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
See also: Notice: Rel. No. 34-76813

SR-FINRA-2016-003
34-77015 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator
Comments due: February 29, 2016
Comments received are available for this proposal.

SR-FINRA-2015-040
34-76970 Jan. 22, 2016 Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Funding Portal Rules and Related Forms and Rule 4518
Comments due:  February 18, 2016
Additional Materials: Amendment No. 1

SR-FINRA-2016-002
34-76931 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Comments due:  February 16, 2016
Additional Materials: Exhibit 5

SR-FINRA-2015-036
34-76908 Jan. 14, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1
Comments due:  February 11, 2016
Rebuttal comments due:  March 7, 2016
See also:  Notice/Order: Rel. No. 34-78081; Notice: Rel. No. 34-76148, Notice: Rel. No. 34-77579
Comments received are available for this proposal.

SR-FINRA-2015-47
34-76855 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
See also: Notice: Rel. No. 34-77218, Notice: Rel. No. 34-76483

SR-FINRA-2015-48
34-76854 Jan. 7, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish Rules to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Plan to Implement A Tick Size Pilot Program
Comments due: February 3, 2016
See also: Notice: Rel. No. 34-76484, Notice: Rel. No. 34-77164

SR-FINRA-2016-001
34-76850 Jan. 7, 2016 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 3, 2016
Additional Materials: Exhibit 5


FINRA File Number List for 2016
Release No. Date Details

SR-FINRA-2016-036
34-78851 Sep. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2016-035
34-78800 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due:  October 6, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-FINRA-2016-034
34-78660 Aug. 24, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
Comments due:  September 20, 2016

SR-FINRA-2016-033
34-78729 Aug. 30, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration
Comments due:  September 27, 2016
Comments received are available for this proposal.

SR-FINRA-2016-032
34-78573 Aug. 15, 2016 Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Comments due: September 9, 2016
Additional Materials:  Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 2d, Exhibit 2e, Exhibit 2f, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-031
34-78609 Aug. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only
Comments due: September 14, 2016

SR-FINRA-2016-030
34-78553 Aug. 11, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2016-029
34-78549 Aug. 11, 2016 Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and to Permit Mediation Parties to Use the Portal
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-FINRA-2016-028
34-78435 Jul. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: August 24, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-027
34-78359 Jul. 19, 2016 Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Comments due: August 15, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-026
34-78327 Jul. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Comments due: August 10, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-025
34-78281 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-024
34-78759 Sep. 2, 2016 Order Granting Approval of Proposed Rule Change to Create an Academic Corporate Bond TRACE Data Product
34-78219 Jul. 1, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
Comments due: July 28, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-023
34-78925 Sep. 23, 2016 Order Granting Approval of Proposed Rule Change Relating to TRACE Reporting and Dissemination of CMO Transactions
34-78196 Jun. 29, 2016 Notice of Filing of a Proposed Rule Change to Increase Transparency For CMO Transactions
Comments due: July 27, 2016
Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-022
34-78836 Sep. 14, 2016 Order Approving Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration
34-78279 Jul. 11, 2016 Notice of Filing of a Proposed Rule Change to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration
Comments due: August 5, 2016
Comments received are available for this proposal.

SR-FINRA-2016-021
34-78237 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Application of FINRA Rule 2210 ("Communications with the Public") to Debt Research Reports
Comments due: August 3, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-020
34-78182 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Comments due: July 26, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-019
34-78130 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Comments due:  July 19, 2016

SR-FINRA-2016-018
34-78823 Sep. 13, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
34-78026 Jun. 9, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
Comments due: July 6, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-017
34-77963 June 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: June 28, 2016

SR-FINRA-2016-016
34-77923 May 26, 2016 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: June 23, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-015
34-78557 Aug. 11, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration, as Modified by Amendment No. 1
Comments due: September 7, 2016
34-77844 May 17, 2016 Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration
Comments due:  June 13, 2016
Comments received are available for this proposal.

SR-FINRA-2016-014
34-78094 Jun. 17, 2016 Order Approving Proposed Rule Change Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
34-77786 May 9, 2016 Notice of Filing of a Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
Comments due:  June 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-013
34-77726 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: May 24, 2016

SR-FINRA-2016-012
34-77505 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares ("NextShares"))
Comments due:  April 29, 2016

SR-FINRA-2016-011
34-77404 Mar. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
Comments due:  April 14, 2016

SR-FINRA-2016-010
34-77798 May 10, 2016 Order Approving a Proposed Rule Change to Adopt FINRA Rule 4554, Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks
34-77635 Apr. 15, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
34-77269 Mar. 1, 2016 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Comments due: March 28, 2016
Additional Materials:  Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-009
34-77243 Feb. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
Comments due:  March 24, 2016

SR-FINRA-2016-008
34-77158 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due:  March 15, 2016
Comments received are available for this proposal.

SR-FINRA-2016-007
34-77551 Apr. 7, 2016 Order Approving a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities
34-77175 Feb. 18, 2016 Notice of Filing of a Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
Comments due:  March 16, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-006
34-77523 Apr. 5, 2016 Order Approving a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
34-77180 Feb. 19, 2016 Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
Comments due:  March 17, 2016

SR-FINRA-2016-005
34-77565 Apr. 8, 2016 Order Approving a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
34-77196 Feb. 19, 2016 Notice of Filing of a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-004
34-77212 Feb. 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Comments due: March 21, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2016-003
34-77015 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the "No-Remuneration" Indicator
Comments due: February 29, 2016
Comments received are available for this proposal.

SR-FINRA-2016-002
34-76931 Jan. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Comments due:  February 16, 2016
Additional Materials: Exhibit 5

SR-FINRA-2016-001
34-76850 Jan. 7, 2016 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 3, 2016
Additional Materials: Exhibit 5

 

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


Modified: 09/23/2016