Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-105524 | May 20, 2026 | SR-FINRA-2026-004 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted 35 days after publication in the Federal Register. View Received Comments Submit a Comment on SR-FINRA-2026-004
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| 34-105487 | May 14, 2026 | SR-FINRA-2026-007 | Financial Industry Regulatory Authority (FINRA) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Exempt Specified Collective Trust Funds from FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue ... View Received Comments |
| 34-105482 | May 13, 2026 | SR-FINRA-2026-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4321 (Allocations of Fail to Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) Comments Due: June 8, 2026 See Also - Exhibit 5 |
| 34-105470 | May 13, 2026 | SR-FINRA-2026-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the... Comments Due: June 8, 2026 See Also - Exhibit 5 |
| 34-105449 | May 12, 2026 | SR-FINRA-2026-010 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan... Comments Due: June 5, 2026 See Also - Exhibit 5 |
| 34-105355 | May 1, 2026 | SR-FINRA-2026-001 | 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 Adopt FINRA Rule 3290 (Outside Activities Requirements) Comments Due: May 27, 2026. Rebuttal Comments Due: June 10, 2026. View Received Comments |
| 34-105352 | May 1, 2026 | SR-FINRA-2026-009 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of a Proposed Rule Change to Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) to Expand the Scope of the Non-Member Affiliate—Principal Transaction Indicator to Also Include Member Affiliates Comments Due: May 27, 2026 See Also - Exhibit 5 |
| 34-105318 | Apr 27, 2026 | SR-FINRA-2026-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) Comments Due: May 21, 2026 See Also - Exhibit 5 |
| 34-105296 | Apr 23, 2026 | SR-FINRA-2026-002 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) Comments Due: May 19, 2026. Rebuttal Comments Due: June 2, 2026. View Received Comments |
| 34-105226 | Apr 14, 2026 | SR-FINRA-2025-017 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin Provisions with Intraday Margin... Comments Due: May 8, 2026 View Received Comments |