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-2021-022

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to January 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.  The proposed rule change would not make any changes to the text of FINRA rules. 

Author: SR-FINRA-2021-022
Posted: October 18, 2021, 7:39 pm

SR-FINRA-2021-014

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). 

Author: SR-FINRA-2021-014
Posted: October 18, 2021, 7:39 pm

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: October 18, 2021, 7:39 pm

SR-FINRA-2021-015

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 1240 (Continuing Education Requirements).  The proposed rule change also makes conforming amendments to FINRA Rule 1210 (Registration Requirements).

Author: SR-FINRA-2021-015
Posted: October 18, 2021, 7:39 pm

SR-FINRA-2021-023

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 Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June 30, 2022 within the scope of the supplementary material.

Author: SR-FINRA-2021-023
Posted: October 18, 2021, 7:39 pm

SR-FINRA-2021-016

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-016
Posted: October 18, 2021, 7:39 pm

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: October 18, 2021, 7:39 pm

SR-FINRA-2021-025

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Principal Examination (“Series 54 examination”). 

Author: SR-FINRA-2021-025
Posted: October 18, 2021, 7:39 pm

SR-FINRA-2021-024

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-024
Posted: October 18, 2021, 7:39 pm

SR-FINRA-2021-019

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 August 31, 2021, to December 31, 2021. The proposed rule change would not make any changes to the text of FINRA rules.

Author: SR-FINRA-2021-019
Posted: October 18, 2021, 7:39 pm

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