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-2018-025

Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
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Posted: June 11, 2018, 4:00 am

SR-FINRA-2018-024

Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
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Posted: June 7, 2018, 4:00 am

SR-FINRA-2018-023

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6730 to require alternative trading systems (“ATSs”) that report transactions in U.S. Treasury Securities to the Transaction Reporting and Compliance Engine (“TRACE”) to identify non-FINRA member subscribers on those transaction reports.

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Posted: June 5, 2018, 4:00 am

SR-FINRA-2018-022

Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
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Posted: May 31, 2018, 4:00 am

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-2018-015

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-2018-013

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-2018-003

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.