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-2020-041

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2020-041
Posted: August 3, 2021, 1:13 pm

SR-FINRA-2021-016

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-016
Posted: August 3, 2021, 1:13 pm

SR-FINRA-2021-012

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-012
Posted: August 3, 2021, 1:13 pm

SR-FINRA-2020-038

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that would require members to file retail communications concerning private placement offerings that are subject to those rules’ filing requirements.

Author: SR-FINRA-2020-038
Posted: August 3, 2021, 1:13 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: August 3, 2021, 1:13 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: August 3, 2021, 1:13 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: August 3, 2021, 1:13 pm

SR-FINRA-2021-017

Financial Industry Regulatory Authority, Inc.

Author: SR-FINRA-2021-017
Posted: August 3, 2021, 1:13 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: August 3, 2021, 1:13 pm

SR-FINRA-2021-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a Supplemental Liquidity Schedule, and Instructions thereto, pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).

Author: SR-FINRA-2021-009
Posted: August 3, 2021, 1:13 pm

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