Recent FINRA Rule Filings

When FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members regarding the modification or addition and to allow for comment. It does this by a Notice of Rule Filing, which is published at its website. Here are the most recent Rule Filings:

SR-FINRA-2017-034

Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
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Posted: November 14, 2017, 5:00 am

SR-FINRA-2017-033

Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
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Posted: October 24, 2017, 4:00 am

SR-FINRA-2017-032

Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
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Posted: October 20, 2017, 4:00 am

SR-FINRA-2017-031

Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
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Posted: September 29, 2017, 4:00 am

SR-FINRA-2017-030

Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
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Posted: September 26, 2017, 4:00 am

SR-FINRA-2017-029

Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
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Posted: September 19, 2017, 4:00 am

SR-FINRA-2017-027

Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
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Posted: August 17, 2017, 4:00 am

SR-FINRA-2017-025

Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
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Posted: July 11, 2017, 4:00 am

SR-FINRA-2017-020

Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
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Posted: June 19, 2017, 4:00 am

SR-FINRA-2017-013

Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
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Posted: May 15, 2017, 4:00 am

A complete list of all FINRA rule filings, with the status of each, is available at FINRA’s website.