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:34-98980 | SEC Issue Date:Nov 17, 2023 | File Number:SR-FINRA-2023-006 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments Due: December 15, 2023 View Received Comments Submit a Comment on SR-FINRA-2023-006
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| Release Number:34-98859 | SEC Issue Date:Nov 3, 2023 | File Number:SR-FINRA-2023-015 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of a Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees Comments Due: November 30, 2023 View Received Comments See Also - Exhibit 5 |
| Release Number:34-98850 | SEC Issue Date:Nov 3, 2023 | File Number:SR-FINRA-2023-014 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1 Comments Due: November 30, 2023 See Also - Exhibit 3, Exhibit 5 |
| Release Number:34-98703 | SEC Issue Date:Oct 6, 2023 | File Number:SR-FINRA-2023-013 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of 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 Comments Due: November 3, 2023 View Received Comments See Also - Order Scheduling Filing of Statements of Review for SR-FINRA-2023-013, Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 |
| Release Number:34-98628 | SEC Issue Date:Sep 28, 2023 | File Number:SR-FINRA-2023-010 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Instituting 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) View Received Comments |
| Release Number:34-98560 | SEC Issue Date:Sep 27, 2023 | File Number:SR-FINRA-2023-012 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu Comments Due: October 24, 2023 |
| Release Number: 34-98488 | SEC Issue Date:Sep 22, 2023 | File Number: | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc. See Also - FINRA Incoming Fingerprint Plan Cover Letter |
| Release Number:34-98349 | SEC Issue Date:Sep 11, 2023 | File Number:SR-FINRA-2023-011 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Financial Industry Regulatory Authority, Inc.; 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: October 6, 2023 View Received Comments |
| Release Number:34-98317 | SEC Issue Date:Sep 7, 2023 | File Number:SR-FINRA-2022-033 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Granting Approval of a 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 Indepen |
| Release Number:34-98212 | SEC Issue Date:Aug 24, 2023 | File Number:SR-FINRA-2022-032 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Approving Proposed Rule Change Relating to Alternative Display Facility New Entrant Comments Due: January 17, 2023 View Received Comments See Also - Letter from Deputy Secretary J. Matthew DeLesDernier to Faisal Sheikh, Assistant General Counsel, FINRA, dated August 25, 2023 |