SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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
Second Quarter |  First Quarter

FINRA File Number List for 2015

Additional Archives

NASD


Chronological List
Release No. Date Details
Second Quarter

SR-FINRA-2015-020
34-75356 Jul. 2, 2015 Notice of Filing of a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-021
34-75339 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-019
34-75333 Jun. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2015-018
34-75246 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-016
34-75160 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 8, 2015

SR-FINRA-2015-015
34-75154 Jun. 11, 2015 Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-013
34-75069 May 29, 2015 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: June 25, 2015

SR-FINRA-2015-012
34-75058 May 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-003
34-75036 May 22, 2015 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing
See also: Notice: Rel. No. 34-74289

SR-FINRA-2014-048
34-75013 May 20, 2015 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 2242 (Debt Research Analysts and Debt Research Reports)
See also: Notice: Rel. No. 34-74490, Order: Rel. No. 34-74340, Notice: Rel. No. 34-73623

SR-FINRA-2014-047
34-75012 May 20, 2015 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
See also: Notice: Rel. No. 34-74488, Order: Rel. No. 34-74339, Notice: Rel. No. 34-73622

SR-FINRA-2015-011
34-74953 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-010
34-74927 May 12, 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: June 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-009
34-74890 May 6, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Comments due: June 2, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-008
34-74807 Apr. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Comments due: May 21, 2015
Comments received are available for this proposal.

SR-FINRA-2015-007
34-74734 Apr. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Comments due:  May 12, 2015
First Quarter

SR-FINRA-2015-006
34-74568 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
Comments due: April 20, 2015

SR-FINRA-2015-005
34-74512 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Comments due: April 10, 2015
Comments received are available for this proposal.

SR-FINRA-2014-048
34-74490 Mar. 12, 2015 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Comments due: April 8, 2015
See also: Notice: Rel. No. 34-75013, Order: Rel. No. 34-74340, Notice: Rel. No. 34-73623

SR-FINRA-2014-047
34-74488 Mar. 12, 2015 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Comments due: April 8, 2015
See also: Notice: Rel. No. 34-75012, Order: Rel. No. 34-74339, Notice: Rel. No. 34-73622

SR-FINRA-2014-030
34-74486 Mar. 12, 2015 Notice of Withdrawal of 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. 34-74021, Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575

SR-FINRA-2014-050
34-74482 Mar. 11, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Require a Member to Identify Transactions With a Non-Member Affiliate and to Change How FINRA Disseminates a Subset of Such Transactions
Comments due: April 7, 2015

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: March 20, 2015
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: March 19, 2015
Rebuttal comments due: April 2, 2015
See also: Notice: Rel. No. 34-75013, Notice: Rel. No. 34-74490, 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: March 19, 2015
Rebuttal comments due: April 2, 2015
See also: Notice: Rel. No. 34-75012, Notice: Rel. No. 34-74488, 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: March 17, 2015
See also: Order Rel. No. 34-75036

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. 34-74486; Notice: Rel. No. 34-73313, Notice: Rel. No. 34-72575


FINRA File Number List for 2015
Release No. Date Details

SR-FINRA-2015-021
34-75339 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-020
34-75356 Jul. 2, 2015 Notice of Filing of a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-019
34-75333 Jun. 30, 2015 Notice of Filing of a Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-FINRA-2015-018
34-75246 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 4 Examination Program
Comments due: 21 days after publication in the Federal Register

SR-FINRA-2015-016
34-75160 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Comments due: July 8, 2015

SR-FINRA-2015-015
34-75154 Jun. 11, 2015 Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-013
34-75069 May 29, 2015 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: June 25, 2015

SR-FINRA-2015-012
34-75058 May 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-011
34-74953 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-010
34-74927 May 12, 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: June 8, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-009
34-74890 May 6, 2015 Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
Comments due: June 2, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-FINRA-2015-008
34-74807 Apr. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Comments due: May 21, 2015
Comments received are available for this proposal.

SR-FINRA-2015-007
34-74734 Apr. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
Comments due:  May 12, 2015

SR-FINRA-2015-006
34-74568 Mar. 24, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
Comments due: April 20, 2015

SR-FINRA-2015-005
34-74512 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Comments due: April 10, 2015
Comments received are available for this proposal.

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: March 20, 2015
Additional Materials: Exhibit 5

SR-FINRA-2015-003
34-75036 May 22, 2015 Order Approving Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing
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: March 17, 2015
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: 07/02/2015