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-2018-002

Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
Author:
Posted: January 12, 2018, 5:00 am

SR-FINRA-2018-001

Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
Author:
Posted: January 3, 2018, 5:00 am

SR-FINRA-2017-036

Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
Author:
Posted: December 22, 2017, 5:00 am

SR-FINRA-2017-034

Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
Author:
Posted: November 21, 2017, 5:00 am

SR-FINRA-2017-035

Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Author:
Posted: November 20, 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
Author:
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
Author:
Posted: September 29, 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
Author:
Posted: May 15, 2017, 4:00 am

SR-FINRA-2017-011

Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Author:
Posted: May 8, 2017, 4:00 am

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