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:34-97398 | SEC Issue Date:Apr 28, 2023 | File Number:SR-FINRA-2023-007 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) Comments Due: May 25, 2023 View Received Comments Submit a Comment on SR-FINRA-2023-007
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| Release Number:34-97291 | SEC Issue Date:Apr 12, 2023 | File Number:SR-FINRA-2022-033 | 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 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: February 2, 2023 View Received Comments |
| Release Number:34-97294 | SEC Issue Date:Apr 12, 2023 | File Number:SR-FINRA-2022-024 | 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 Amendments Nos. 1 and 2, to Amend the Codes of Arbitration Procedure Comments Due: December 7, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| Release Number:34-97237 | SEC Issue Date:Mar 31, 2023 | File Number:SR-FINRA-2023-006 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments |
| Release Number:34-97195 | SEC Issue Date:Mar 24, 2023 | File Number:SR-FINRA-2022-032 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments |
| Release Number:34-97184 | SEC Issue Date:Mar 22, 2023 | File Number:SR-FINRA-2023-005 | 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 Provide Eligible Individuals Another Opportunity To Elect To Participate in the Maintaining Qualifications Program Comments Due: 21 days after publication in the Federal Register |
| Release Number:34-97181 | SEC Issue Date:Mar 21, 2023 | File Number:SR-FINRA-2023-003 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Duplicative Requirements Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| Release Number:34-97104 | SEC Issue Date:Mar 10, 2023 | File Number:SR-FINRA-2023-004 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86/87) Examination Comments Due: 21 days after publication in the Federal Register |
| Release Number:34-97062 | SEC Issue Date:Mar 7, 2023 | File Number:SR-FINRA-2023-002 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |
| Release Number:34-97039 | SEC Issue Date:Mar 3, 2023 | File Number:SR-FINRA-2022-031 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments |