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-2018-016

Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
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Posted: April 20, 2018, 4:00 am

SR-FINRA-2018-015

Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
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Posted: April 20, 2018, 4:00 am

SR-FINRA-2018-017

Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
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Posted: April 20, 2018, 4:00 am

SR-FINRA-2018-014

Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
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Posted: April 16, 2018, 4:00 am

SR-FINRA-2018-013

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt rules relating to the establishment of a second Trade Reporting Facility or “TRF” to be operated in conjunction with Nasdaq, Inc. (“Nasdaq”). The second FINRA/Nasdaq Trade Reporting Facility (“FINRA/Nasdaq TRF Chicago”) would provide FINRA members with another mechanism for reporting over-the-counter (“OTC”) trades in NMS stocks and complying with FINRA’s requirements with respect to back-up trade reporting arrangements.

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Posted: April 10, 2018, 4:00 am

SR-FINRA-2018-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to eliminate the $400 fee for an explained decision.

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Posted: February 21, 2018, 5:00 am

SR-FINRA-2018-010

Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
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Posted: February 12, 2018, 5:00 am

SR-FINRA-2018-011

Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
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Posted: February 12, 2018, 5:00 am

SR-FINRA-2018-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Banking Representative (Series 79) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by an Investment Banking Representative.

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Posted: February 9, 2018, 5:00 am

SR-FINRA-2018-003

Proposed Rule Filing Relating to Simplified Arbitration
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Posted: January 30, 2018, 5:00 am

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