Financial Industry Regulatory Authority (FINRA) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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| Release Number:34-100067 | SEC Issue Date:May 6, 2024 | File Number:SR-FINRA-2024-006 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1240.01 to Reopen the Period by Which Certain Participants in the Maintaining Qualifications Program May Complete Their Prescribed Continuing Education Content Submit a Comment on SR-FINRA-2024-006
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| Release Number:34-100046 | SEC Issue Date:May 1, 2024 | File Number:SR-FINRA-2024-007 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) See Also - Exhibit 5 |
| Release Number:34-100006 | SEC Issue Date:Apr 22, 2024 | File Number:SR-FINRA-2024-004 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: 21 days after date of publication in the Federal Register. Rebuttal comments should be submitted by 35 days after date of publication in the Federal Register. View Received Comments Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| Release Number:34-99991 | SEC Issue Date:Apr 18, 2024 | File Number:SR-FINRA-2024-005 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) Comments Due: May 15, 2024 See Also - Exhibit 5 |
| Release Number:34-99988 | SEC Issue Date:Apr 18, 2024 | File Number:SR-FINRA-2024-001 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements. Comments Due: May 15, 2024 View Received Comments |
| Release Number: 34-99696 | SEC Issue Date:Mar 8, 2024 | File Number:SR-FINRA-2023-010 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Approving a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) View Received Comments |
| Release Number:34-99640 | SEC Issue Date:Feb 29, 2024 | File Number:SR-FINRA-2024-004 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: before May 17, 2024. Rebuttal Comments should be submitted by May 31, 2024. View Received Comments Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| Release Number:34-99588 | SEC Issue Date:Feb 22, 2024 | File Number:SR-FINRA-2023-016 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 2210 (Communications with the Public) to Permit Projections of Comments Due: March 20, 2024. Rebuttal comments should be submitted on or before by April 3, 2024. View Received Comments See Also - Exhibit 4, Exhibit 5 |
| Release Number:34-99487 | SEC Issue Date:Feb 7, 2024 | File Number:SR-FINRA-2023-015 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Approving Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees View Received Comments |
| Release Number:34-99404 | SEC Issue Date:Jan 19, 2024 | File Number:SR-FINRA-2024-004 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute Comments Due: March 10, 2024 View Received Comments See Also - Exhibit 5 Submit a Comment on Submit Comments on SR-FINRA-2024-004 - Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |