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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-2018-012

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-2018-011

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-2018-010

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

SR-FINRA-2018-008

Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
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Posted: February 12, 2018, 5:00 am

SR-FINRA-2018-009

Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
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Posted: February 12, 2018, 5:00 am

SR-FINRA-2018-007

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 Company and Variable Contracts Products Representative (Series 6) 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. In addition, FINRA is proposing to make changes to the format of the content outline.

Author:
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.

Author:
Posted: February 9, 2018, 5:00 am

SR-FINRA-2018-005

Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
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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

SR-FINRA-2018-002

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

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