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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-2017-003
34-80255 Mar. 15, 2017 Order Approving Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
See also: Notice: Rel. No. 34-79961

SR-FINRA-2017-006
34-80193 Mar. 9, 2017 Notice of Filing of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2017-005
34-80179 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2017-004
34-80105 Feb. 24, 2017 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: March 23, 2017
Additional Materials: Exhibit 5

SR-FINRA-2016-047
34-80004A Feb. 9, 2017 Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to conform to the Commission’s Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2
See also: Notice: Rel. No. 34-79648

SR-FINRA-2017-003
34-79961 Feb. 3, 2017 Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Comments due: March 2, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80255
Comments received are available for this proposal.

SR-FINRA-2016-039
34-79964 Feb. 3, 2017 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1
Comments due: March 2, 2017
See also: Notice: Rel.No. 34-79215

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: February 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.


FINRA File Number List for 2017
Release No. Date Details

SR-FINRA-2017-006
34-80193 Mar. 9, 2017 Notice of Filing of a Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2017-005
34-80179 Mar. 8, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2017-004
34-80105 Feb. 24, 2017 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: March 23, 2017
Additional Materials: Exhibit 5

SR-FINRA-2017-003
34-80255 Mar. 15, 2017 Order Approving Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
34-79961 Feb. 3, 2017 Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Comments due: March 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.

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: February 2, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.

 

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


Modified: 03/16/2017