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-2021-026

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until April 20, 2022. 

Author: SR-FINRA-2021-026
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-016

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-016
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-028

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to April 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-2021-028
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-033

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”). 

This filing has been withdrawn.

Author: SR-FINRA-2021-033
Posted: January 24, 2022, 3:04 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: January 24, 2022, 3:04 am

SR-FINRA-2021-024

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-024
Posted: January 24, 2022, 3:04 am

SR-FINRA-2022-001

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020 and 2021, and Through June 30 of Calendar Year 2022) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through December 31, 2022 within the scope of the supplementary material.

Author: SR-FINRA-2022-001
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-008

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 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

Author: SR-FINRA-2021-008
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-034

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-034
Posted: January 24, 2022, 3:04 am

SR-FINRA-2021-029

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 6732 to provide FINRA with authority to, subject to conditions, exempt transactions by a member alternative trading system (“ATS”) that meet specified criteria from the transaction reporting obligations of FINRA Rule 6730 (Transaction Reporting). 

Author: SR-FINRA-2021-029
Posted: January 24, 2022, 3:04 am

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