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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-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) |
| SR-FINRA-2022-020 | Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2022-019 | Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) |
| SR-FINRA-2022-018 | Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 |
| SR-FINRA-2022-017 | Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities |
| SR-FINRA-2022-016 | Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule |
| SR-FINRA-2022-015 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm |
| SR-FINRA-2022-014 | Proposed Rule Change to Amend FINRA Rules 4111 and 9561 to Make Non-Substantive and Technical Amendments |
| SR-FINRA-2022-013 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Enhance TRACE Reporting Obligations for U.S. Treasury Securities |