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:

Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.

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Posted: November 28, 2018, 5:00 am

SR-FINRA-2018-039

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 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and records on the form; (2) clarify the obligations of the designated custodian; and (3) require the designated custodian to consent to act in such a capacity.

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Posted: November 15, 2018, 5:00 am

SR-FINRA-2018-037

Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
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Posted: October 24, 2018, 4:00 am

SR-FINRA-2018-036

Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
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Posted: September 27, 2018, 4:00 am

SR-FINRA-2018-035

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Capital Acquisition Broker (“CAB”) Rule 331 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network’s (“FinCEN”) adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions (“CDD Rule”).

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Posted: September 20, 2018, 4:00 am

SR-FINRA-2018-034

Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds
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Posted: August 31, 2018, 4:00 am

SR-FINRA-2018-032

Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
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Posted: August 16, 2018, 4:00 am

SR-FINRA-2018-030

Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) to Remove Computer-to-Computer Interface (“CTCI”) as a Technological Option for TRACE Reporting
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Posted: August 15, 2018, 4:00 am

SR-FINRA-2018-029

Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
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Posted: August 10, 2018, 4:00 am

SR-FINRA-2018-026

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 12214(c) through (e) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rule 13214(c) through (e) of the Code of Arbitration Procedure for Industry Disputes (“Industry Code” and together, “Codes”), to provide that FINRA will pay each arbitrator a $200 honorarium to decide without a hearing session a contested subpoena request or a contested order for production or appearance.

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Posted: July 13, 2018, 4:00 am

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