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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-2016-047
34-80004 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

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-2017-003
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

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: 02/16/2017