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:34-95270 | SEC Issue Date:Jul 13, 2022 | File Number:SR-FINRA-2022-013 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |
| Release Number:34-95191 | SEC Issue Date:Jun 30, 2022 | File Number:SR-FINRA-2022-016 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-FINRA-2022-016
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| Release Number:34-95165 | SEC Issue Date:Jun 27, 2022 | File Number:SR-FINRA-2022-017 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-FINRA-2022-017 |
| Release Number:34-95161 | SEC Issue Date:Jun 27, 2022 | File Number:SR-FINRA-2022-011 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |
| Release Number:34-95147 | SEC Issue Date:Jun 23, 2022 | File Number:SR-FINRA-2022-009 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |
| Release Number:34-95092 | SEC Issue Date:Jun 13, 2022 | File Number:SR-FINRA-2022-015 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments |
| Release Number:34-95048 | SEC Issue Date:Jun 6, 2022 | File Number:SR-FINRA-2022-014 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |
| Release Number:34-95018 | SEC Issue Date:Jun 1, 2022 | File Number:SR-FINRA-2021-024 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: Order Approving a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements), as Modified by Amendment No. 1 Comments Due: January 31, 2022 Rebuttal comments due: February 14, 2022 |
| Release Number:34-95003 | SEC Issue Date:May 27, 2022 | File Number:SR-FINRA-2022-013 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 View Received Comments See Also - Exhibit 2a, Exhibit 2b, Exhibit 2c, Exhibit 5 Submit a Comment on SR-FINRA-2022-013 |
| Release Number:34-94942 | SEC Issue Date:May 18, 2022 | File Number:SR-FINRA-2022-012 | SRO Organization:Financial Industry Regulatory Authority (FINRA) |
Details: 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 |