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View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2023-012 | Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024 |
| SR-FINRA-2023-011 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2023-010 | Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) |
| SR-FINRA-2023-009 | Proposed Rule Change to Amend FINRA’s Trading Activity Fee |
| SR-FINRA-2023-008 | Proposed Rule Change to Allow for Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions |
| SR-FINRA-2023-007 | Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) |
| SR-FINRA-2023-006 | Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) |
| SR-FINRA-2023-005 | Proposed Rule Change to Amend FINRA Rule 1240.01 to Provide Eligible Individuals Another Opportunity to Elect to Participate in the Maintaining Qualifications Program |
| SR-FINRA-2023-004 | Proposed Revisions to the Content Outline and Selection Specifications for the Research Analyst (Series 86/87) Exam Program |
| SR-FINRA-2023-003 | Proposed Rule Change to Amend FINRA Rules to Address Duplicative Requirements |
| SR-FINRA-2023-002 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2023-001 | Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) |
| SR-FINRA-2022-033 | Proposed Rule Change to Amend the Codes of Arbitration Procedure |
| SR-FINRA-2022-032 | Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2022-031 | Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) |
| SR-FINRA-2022-030 | Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 |
| SR-FINRA-2022-029 | Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-027 and the Temporary Amendments to FINRA Rule 9341(d) in SR-FINRA-2020-015 |
| SR-FINRA-2022-028 | Proposed Rule Change to Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) |
| SR-FINRA-2022-027 | Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2022-026 | Proposed Rule Change to Change References in the Codes of Arbitration Procedure from the Neutral List Selection System to the List Selection Algorithm |
| SR-FINRA-2022-025 | Proposed Rule Change to Amend FINRA Rule 11880 (Settlement of Syndicate Accounts) to Revise the Syndicate Account Settlement Timeframe for Corporate Debt Offerings |
| SR-FINRA-2022-024 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information |
| SR-FINRA-2022-023 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2022-022 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2022-021 | Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) |