Financial Industry Regulatory Authority (FINRA) Rulemaking Archive: 2022
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Chronological List
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Second Quarter |
First Quarter
FINRA File Number List for 2022
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Chronological List for 2022
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-FINRA-2022-032 | ||
| 34-97195 | Mar. 24, 2023 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96550 | Dec. 20, 2022 | Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 17, 2023 Additional Materials: Exhibit 3 Comments received are available for this proposal. |
| SR-FINRA-2022-021 | ||
| 34-96520 | Dec. 16, 2022 | Notice of Partial Amendment No. 1 to Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: January 12, 2023 |
| SR-FINRA-2022-031 | ||
| 34-96415 | Nov. 30, 2022 | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Comments due: December 27, 2022 Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-024 | ||
| 34-96298 | Nov. 10, 2022 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-FINRA-2022-021 | ||
| 34-96297 | Nov. 10, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-FINRA-2022-025 | ||
| 34-96279 | Nov. 9, 2022 | Order Approving Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| SR-FINRA-2022-030 | ||
| 34-96241 | Nov. 4, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)
Comments due: December 1, 2022 Comments received are available for this proposal. |
| SR-FINRA-2022-019 | ||
| 34-96191 | Oct. 31, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110.
Comments due: November 25, 2022 Rebuttal comments due: December 9, 2022 Comments received are available for this proposal. |
| SR-FINRA-2022-029 | ||
| 34-96107 | Oct. 19, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: November 15, 2022 |
| SR-FINRA-2022-028 | ||
| 34-95990 | Oct. 6, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Comments due: November 3, 2022 |
| Third Quarter | ||
| SR-FINRA-2022-027 | ||
| 34-95939 | Sep. 29, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: October 26, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-025 | ||
| 34-95937 | Sep. 28, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| SR-FINRA-2022-026 | ||
| 34-95871 | Sep. 22, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change References in the Codes of Arbitration Procedure from the Neutral List Selection System to the List Selection Algorithm
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-015 | ||
| 34-95791 | Sep. 15, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-FINRA-2022-013 | ||
| 34-95635 | Aug. 30, 2022 | Order Approving a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Enhance TRACE Reporting Obligations for U.S. Treasury Securities |
| SR-FINRA-2022-025 | ||
| 34-95494 | Aug. 12, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2b, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-011 | ||
| 34-95465 | Aug. 10, 2022 | Order Approving Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities |
| SR-FINRA-2022-023 | ||
| 34-95456 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-024 | ||
| 34-95455 | Aug. 9, 2022 | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-022 | ||
| 34-95454 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA rules
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-021 | ||
| 34-95452 | Aug. 9, 2022 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-017 | ||
| 34-95438 | Aug. 5, 2022 | Order Approving a Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities |
| SR-FINRA-2022-019 | ||
| 34-95379 | Jul. 27, 2022 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-020 | ||
| 34-95322 | Jul. 19, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2022-018 | ||
| 34-95281 | Jul. 14, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-013 | ||
| 34-95270 | Jul. 13, 2022 | Notice of Designation of a Longer Period for Commission action on a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury Securities |
| Second Quarter | ||
| SR-FINRA-2022-016 | ||
| 34-95191 | Jun. 30, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-017 | ||
| 34-95165 | Jun. 27, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-011 | ||
| 34-95161 | Jun. 27, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities |
| SR-FINRA-2022-009 | ||
| 34-95147 | Jun. 23, 2022 | Order Approving a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals |
| SR-FINRA-2022-015 | ||
| 34-95092 | Jun. 13, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-014 | ||
| 34-95048 | Jun. 6, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111)
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2021-024 | ||
| 34-95018 | Jun. 1, 2022 | Order Approving a Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements), as modified by Amendment No. 1 |
| SR-FINRA-2022-013 | ||
| 34-95003 | May 27, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-012 | ||
| 34-94942 | May 18, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-011 | ||
| 34-94891 | May 11, 2022 | Notice of Filing of a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-010 | ||
| 34-94710 | Apr. 13, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 10, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-008 | ||
| 34-94673 | Apr. 11, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: May 6, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-009 | ||
| 34-94654 | Apr. 8, 2022 | Notice of Filing of a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals
Comments due: May 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-007 | ||
| 34-94643 | Apr. 8, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds
Comments due: May 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| First Quarter | ||
| SR-FINRA-2022-006 | ||
| 34-94498 | Mar. 23, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: April 20, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-004 | ||
| 34-94430 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: April 12, 2022 |
| SR-FINRA-2022-005 | ||
| 34-94428 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: April 12, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2021-030 | ||
| 34-94365 | Mar. 4, 2022 | Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting of Corporate Bond Trades That Are Part of a Larger Portfolio Trade
Comments due: March 31, 2022 |
| SR-FINRA-2022-003 | ||
| 34-94356 | Mar. 3, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: March 30, 2022 |
| SR-FINRA-2022-002 | ||
| 34-94156 | Feb. 4, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Transaction Query Fee for the FINRA/Nasdaq TRF
Comments due: March 3, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2021-016 | ||
| 34-94061 | Jan. 25, 2022 | Order Approving a Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults) |
| SR-FINRA-2022-001 | ||
| 34-94018 | Jan. 20, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision)
Comments due: February 16, 2022 Comments received are available for this proposal. |
| SR-FINRA-2021-010 | ||
| 34-94013 | Jan. 20, 2022 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
See also:
|
| SR-FINRA-2021-030 | ||
| 34-94011 | Jan. 20, 2022 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 to Require Members to Append Modifiers to Delayed Treasury Spot Trades and Portfolio Trades When Reporting to TRACE |
| SR-FINRA-2021-029 | ||
| 34-93966 | Jan. 12, 2022 | Order Approving Proposed Rule Change to Amend FINRA Rule 6732 and Expand the Scope of Exemptions that FINRA May Grant ATSs from the TRACE Reporting Requirements |
| SR-FINRA-2021-034 | ||
| 34-93928 | Jan. 7, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws Relating to the Continuing Education Fees
Comments due: February 3, 2022 |
| SR-FINRA-2021-008 | ||
| 34-93914 | Jan. 6, 2022 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Security-Based Swaps |
| SR-FINRA-2021-024 | ||
| 34-93897 | Jan. 4, 2022 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
Comments due: January 31, 2022 Rebuttal comments due: February 14, 2022 |
File Number List for 2022
| Release No. | Date | Details |
|---|---|---|
| SR-FINRA-2022-033 | ||
| 34-97291 | Apr. 12, 2023 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: May 9, 2023 Federal Register Rebuttal comments due: May 23, 2023 Federal Register |
| 34-96607 | Jan. 6, 2023 | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP
Comments due: February 2, 2023 Comments received are available for this proposal. |
| SR-FINRA-2022-032 | ||
| 34-97784 | Jun. 21, 2023 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| 34-96864 | Feb. 9, 2023 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| 34-96550 | Dec. 20, 2022 | Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant
Comments due: January 17, 2023 Additional Materials: Exhibit 3 Comments received are available for this proposal. |
| SR-FINRA-2022-031 | ||
| 34-97629 | May 31, 2023 | 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 Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| 34-97039 | Mar. 3, 2023 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96699 | Jan. 18, 2023 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| 34-96415 | Nov. 30, 2022 | Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities)
Comments due: December 27, 2022 Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-030 | ||
| 34-96241 | Nov. 4, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through December 31 of Calendar Year 2022) Under FINRA Rule 3110 (Supervision)
Comments due: December 1, 2022 Comments received are available for this proposal. |
| SR-FINRA-2022-029 | ||
| 34-96107 | Oct. 19, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015
Comments due: November 15, 2022 |
| SR-FINRA-2022-028 | ||
| 34-95990 | Oct. 6, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
Comments due: November 3, 2022 |
| SR-FINRA-2022-027 | ||
| 34-95939 | Sep. 29, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: October 26, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-026 | ||
| 34-95871 | Sep. 22, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Change References in the Codes of Arbitration Procedure from the Neutral List Selection System to the List Selection Algorithm
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-025 | ||
| 34-96279 | Nov. 9, 2022 | Order Approving Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| 34-95937 | Sep. 28, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| 34-95494 | Aug. 12, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2b, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-024 | ||
| 34-97294 | Apr. 12, 2023 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: May 10, 2023 Federal Register |
| 34-96298 | Nov. 10, 2022 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95455 | Aug. 9, 2022 | Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-023 | ||
| 34-95456 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-022 | ||
| 34-95454 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA rules
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-021 | ||
| 34-96520 | Dec. 16, 2022 | Notice of Partial Amendment No. 1 to Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: January 12, 2023 |
| 34-96297 | Nov. 10, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95452 | Aug. 9, 2022 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-020 | ||
| 34-95322 | Jul. 19, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-FINRA-2022-019 | ||
| 34-96191 | Oct. 31, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110.
Comments due: November 25, 2022 Rebuttal comments due: December 9, 2022 Comments received are available for this proposal. |
| 34-95379 | Jul. 27, 2022 | Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-018 | ||
| 34-95281 | Jul. 14, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-017 | ||
| 34-95438 | Aug. 5, 2022 | Order Approving a Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities |
| 34-95165 | Jun. 27, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-016 | ||
| 34-95191 | Jun. 30, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-015 | ||
| 34-96798 | Feb. 3, 2023 | Order Approving a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm |
| 34-95791 | Sep. 15, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck Relating to Firm Designation as a Restricted Firm
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95092 | Jun. 13, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-FINRA-2022-014 | ||
| 34-95048 | Jun. 6, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules 4111 (Restricted Firm Obligations) and 9561 (Procedures for Regulating Activities Under Rule 4111)
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-013 | ||
| 34-95635 | Aug. 30, 2022 | Order Approving a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Enhance TRACE Reporting Obligations for U.S. Treasury Securities |
| 34-95270 | Jul. 13, 2022 | Notice of Designation of a Longer Period for Commission action on a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury Securities |
| 34-95003 | May 27, 2022 | Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 to Enhance TRACE Reporting Obligations for U.S. Treasury Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-012 | ||
| 34-94942 | May 18, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021
Comments due: 21 days after publication in the Federal Register |
| SR-FINRA-2022-011 | ||
| 34-95465 | Aug. 10, 2022 | Order Approving Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities |
| 34-95161 | Jun. 27, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities |
| 34-94891 | May 11, 2022 | Notice of Filing of a Proposed Rule Change to Expand TRACE Reporting Requirements to Trades in U.S. Dollar-Denominated Foreign Sovereign Debt Securities
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-010 | ||
| 34-94710 | Apr. 13, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: May 10, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-009 | ||
| 34-95147 | Jun. 23, 2022 | Order Approving a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and Other Proceedings and Appeals |
| 34-94654 | Apr. 8, 2022 | Notice of Filing of a Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals
Comments due: May 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. s |
| SR-FINRA-2022-008 | ||
| 34-94673 | Apr. 11, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Comments due: May 6, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-007 | ||
| 34-94643 | Apr. 8, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Increase the Position and Exercise Limits for Conventional Options on Certain Exchange-Traded Funds
Comments due: May 5, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FINRA-2022-006 | ||
| 34-94669 | Apr. 11, 2022 | Notice of Withdrawal of Proposed Rule Changes to Establish Fees for the Exchanges' cToM Market Data Products
Additional File No.: SR-MIAX-2022-10 |
| 34-94498 | Mar. 23, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility
Comments due: April 20, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-005 | ||
| 34-94428 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
Comments due: April 12, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-004 | ||
| 34-94430 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
Comments due: April 12, 2022 |
| SR-FINRA-2022-003 | ||
| 34-94356 | Mar. 3, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Comments due: March 30, 2022 |
| SR-FINRA-2022-002 | ||
| 34-94156 | Feb. 4, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Transaction Query Fee for the FINRA/Nasdaq TRF
Comments due: March 3, 2022 Additional Materials: Exhibit 5 |
| SR-FINRA-2022-001 | ||
| 34-94018 | Jan. 20, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision)
Comments due: February 16, 2022 Comments received are available for this proposal. |