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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2018-043 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2018-042 | Proposed Rule Change to Amend FINRA Rules 7610A and 7620A to Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants |
| SR-FINRA-2018-041 | Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2018-040 | Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) |
| SR-FINRA-2018-039 | Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) |
| SR-FINRA-2018-037 | Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information) |
| SR-FINRA-2018-036 | Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations |
| SR-FINRA-2018-035 | Proposed Rule Change to Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions |
| 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 |
| SR-FINRA-2018-033 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees |
| SR-FINRA-2018-032 | Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols |
| SR-FINRA-2018-031 | Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal) |
| 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 |
| SR-FINRA-2018-029 | Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities |
| SR-FINRA-2018-028 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
| SR-FINRA-2018-027 | Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations |
| SR-FINRA-2018-026 | Proposal to Amend FINRA Rules 12214 and 13214 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 |
| SR-FINRA-2018-025 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2018-024 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
| SR-FINRA-2018-023 | Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities |
| SR-FINRA-2018-022 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2018-021 | Proposed Rule Change Relating to District Committee Structure and Governance |
| SR-FINRA-2018-020 | Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security” |
| SR-FINRA-2018-019 | Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference |
| SR-FINRA-2018-018 | Proposed Rule Change Relating to Statutory Disqualification Application Fees |