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 and the general public regarding the modification or addition and to allow for comment. It does this by a Notice of Rule Filing, which is published on its website. Here are the most recent Rule Filings,


If you have a question about these rule filings, email Mark Astarita. Mark has been dealing with FINRA and its rules and regulations for over 30 years. He has represented over 60 brokerage and trading firms, hedge funds, investment advisors, and individual investors across the country.


SR-FINRA-2021-024

Author: SR-FINRA-2021-024
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to October 26, 2022 the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15, 2016. 

Author: SR-FINRA-2022-003
Posted: May 26, 2022, 4:16 am

SR-FINRA-2021-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to require members to append modifiers to identify delayed Treasury spot and portfolio trades when reporting to FINRA’s Trade Reporting and Compliance Engine (“TRACE”).

Author: SR-FINRA-2021-030
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from March 31, 2022, to July 31, 2022. 

Author: SR-FINRA-2022-004
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-005

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on April 18, 2022.

Author: SR-FINRA-2022-005
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-007

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2360 (Options) to increase the position and exercise limits for conventional options on certain exchange-traded funds (“ETFs”).

Author: SR-FINRA-2022-007
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-006

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).

Author: SR-FINRA-2022-006
Posted: May 26, 2022, 4:16 am

SR-FINRA-2021-010

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036.  The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(2)(H), (e)(2)(I), (f)(6), and Supplementary Material .02 through .05, each as amended or established pursuant to SR-FINRA-2015-036.

Author: SR-FINRA-2021-010
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-011

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to expand TRACE reporting requirements to trades in U.S. dollar-denominated foreign sovereign debt securities.

Author: SR-FINRA-2022-011
Posted: May 26, 2022, 4:16 am

SR-FINRA-2022-012

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Industry Disputes (“Code”) to align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 (“Act”).  The proposed rule change would also make a conforming amendment to FINRA Rule 2263.  

Author: SR-FINRA-2022-012
Posted: May 26, 2022, 4:16 am

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