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-2020-014

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 9231 to provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or non-Extended Hearing.

Author: SR-FINRA-2020-014
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-011

Author: SR-FINRA-2020-011
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-018

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

Author: SR-FINRA-2020-018
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-028

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations), respectively, to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No.

Author: SR-FINRA-2020-028
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-020

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).

Author: SR-FINRA-2020-020
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-030

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 Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.

Author: SR-FINRA-2020-030
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-027

Author: SR-FINRA-2020-027
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-033

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).

Author: SR-FINRA-2020-033
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-036

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, 2021.

Author: SR-FINRA-2020-036
Posted: November 25, 2020, 4:52 am

SR-FINRA-2020-035

Author: SR-FINRA-2020-035
Posted: November 25, 2020, 4:52 am

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