Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-103986 | Sep 16, 2025 | SR-FINRA-2025-008 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) View Received Comments |
| 34-103958 | Sep 12, 2025 | SR-FINRA-2025-003 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) Comments Due: October 8, 2025. Rebuttal Comments Due: October 22, 2025. View Received Comments Submit a Comment on SR-FINRA-2025-003
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| 34-103945 | Sep 11, 2025 | SR-FINRA-2025-005 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules Comments Due: on or before October 7, 2025. Rebuttal comments should be submitted on or before October 21, 2025. View Received Comments |
| 34-103755 | Aug 21, 2025 | SR-FINRA-2024-021 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age... View Received Comments |
| 34-103753 | Aug 20, 2025 | SR-FINRA-2024-022 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical, and Procedural Changes to the Arbitrator List Selection Process View Received Comments |
| 34-103685 | Aug 12, 2025 | SR-FINRA-2025-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Require Use of an Office of Hearing Officers Portal Comments Due: September 5, 2025 See Also - Exhibit 5 |
| 34-103515 | Jul 22, 2025 | SR-FINRA-2025-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) View Received Comments |
| 34-103491 | Jul 17, 2025 | SR-FINRA-2025-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6860 of FINRA’s Compliance Rule to be Consistent with the Exemptive Relief Granted by the Commission from Certain Provisions Related to Timestamp Granularity Comments Due: August 12, 2025 See Also - Exhibit 5 |
| 34-103435 | Jul 11, 2025 | SR-FINRA-2025-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 6380A and 6380B (Transaction Reporting) to Extend the Trade Reporting Facilities Operating Hours Comments Due: August 6, 2025 View Received Comments See Also - Exhibit 5 |
| 34-103373 | Jul 2, 2025 | SR-FINRA-2025-010 | Financial Industry Regulatory Authority (FINRA) | WITHDRAWN on 08/13/2025 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Cost Recovery Fee Related to Reasonably Budgeted Costs of the National Market... Comments Due: July 29, 2025 View Received Comments See Also - Exhibit 5 |