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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-99372 SEC Issue Date:Jan 17, 2024 File Number:SR-FINRA-2024-003 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disa
Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024.
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See Also - Exhibit 5
Submit a Comment on SR-FINRA-2024-003
Release Number:34-99363 SEC Issue Date:Jan 17, 2024 File Number:SR-FINRA-2024-002 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspens
Comments Due: March 5, 2024. Rebuttal comments should be submitted by March 19, 2024.
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See Also - Exhibit 5
Submit a Comment on SR-FINRA-2024-002
Release Number:34-99351 SEC Issue Date:Jan 16, 2024 File Number:SR-FINRA-2024-001 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
Comments Due: February 12, 2024
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Submit a Comment on SR-FINRA-2024-001
Release Number:34-99335 SEC Issue Date:Jan 11, 2024 File Number:SR-FINRA-2023-013 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations
See Also - Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Letter from Deputy Secretary J. Matthew DeLesDernier to Kristine Vo, Assistant General Counsel, FINRA dated January 19, 2024
Submit a Comment on SR-FINRA-2023-013
Release Number:34-99331 SEC Issue Date:Jan 11, 2024 File Number: SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Granting FINRA’s Application For Relief From Certain Statutory Disqualification
Release Number:34-99304 SEC Issue Date:Jan 9, 2024 File Number:SR-FINRA-2023-010 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements)
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Release Number:34-99204 SEC Issue Date:Dec 19, 2023 File Number:SR-FINRA-2023-015 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees
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Release Number:34-99075 SEC Issue Date:Dec 4, 2023 File Number: SR-FINRA-2023-017 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules 15c6-1 and 15c6-2 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Two Business Days after the Tr
Comments Due: December 29, 2023
See Also - Exhibit 5
Submit a Comment on SR-FINRA-2023-017
Release Number:34-98977 SEC Issue Date:Nov 17, 2023 File Number:SR-FINRA-2023-016 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance of Investment Strategies or Single Securities in Institutional Communications
Comments Due: December 15, 2023
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See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5
Submit a Comment on SR-FINRA-2023-016
Release Number:34-98982 SEC Issue Date:Nov 17, 2023 File Number:SR-FINRA-2023-007 SRO Organization:Financial Industry Regulatory Authority (FINRA) Details: Order Approving a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision)
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