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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-2018-021

Proposed Rule Change Relating to District Committee Structure and Governance
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Posted: May 18, 2018, 4:00 am

SR-FINRA-2018-020

Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
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Posted: May 17, 2018, 4:00 am

SR-FINRA-2018-019

Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
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Posted: May 4, 2018, 4:00 am

SR-FINRA-2018-018

Proposed Rule Change Relating to Statutory Disqualification Application Fees
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Posted: May 1, 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-2018-015

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-2018-016

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-2018-014

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.

Author:
Posted: April 10, 2018, 4:00 am

SR-FINRA-2018-003

Proposed Rule Filing Relating to Simplified Arbitration
Author:
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.