Financial Industry Regulatory Authority (FINRA) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-101064 | Sep 17, 2024 | SR-FINRA-2024-014 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment Comments Due: 21 days after date of publication in the Federal Register. View Received Comments See Also - Exhibit 5 Submit a Comment on SR-FINRA-2024-014
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| 34-101065 | Sep 17, 2024 | SR-FINRA-2024-001 | Financial Industry Regulatory Authority (FINRA) | Order Approving a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements View Received Comments |
| 34-101052 | Sep 17, 2024 | SR-FINRA-2024-015 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question Comments Due: 21 days after publication in the Federal Register. See Also - Exhibit 3a, Exhibit 3b |
| 34-101012 | Sep 12, 2024 | SR-FINRA-2024-013 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6897 to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Comments Due: 21 days after date of publication in the Federal Register. View Received Comments See Also - Exhibit 5 |
| 34-100960 | Sep 6, 2024 | SR-FINRA-2024-002 | Financial Industry Regulatory Authority (FINRA) | Notice of Withdrawal of Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail View Received Comments |
| 34-100920 | Sep 4, 2024 | SR-FINRA-2024-012 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From Comments Due: October 1, 2024 View Received Comments See Also - Exhibit 5 |
| 34-100881 | Aug 30, 2024 | SR-FINRA-2024-011 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Th Comments Due: 21 days after publication in the Federal Register. View Received Comments See Also - Exhibit 5 |
| 34-100787 | Aug 21, 2024 | SR-FINRA-2024-008 | Financial Industry Regulatory Authority (FINRA) | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Comments Due: by September 17, 2024. Rebuttal Comments should be submitted on or before October 1, 2024. View Received Comments See Also - Exhibit 5, Exhibit 4 |
| 34-100655 | Aug 5, 2024 | SR-FINRA-2024-007 | Financial Industry Regulatory Authority (FINRA) | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)) View Received Comments |
| 34-100628 | Jul 31, 2024 | SR-BOX-2024-03, SR-BX-2024-002, SR-C2-2024-002, SR-CBOE-2024-003, SR-CboeBYX-2024-002, SR-CboeBZX-2024-004, SR-CboeEDGA-2024-002, SR-CboeEDGX-2024-005, SR-EMERALD-2024-01, SR-FINRA-2024-002, SR-GEMX-2024-02, SR-IEX-2024-01, SR-ISE-2024-02, SR-LTSE-2024-02, SR-MEMX-2024-01, SR-MIAX-2024-02, SR-MRX-2024-01, SR-NASDAQ-2024-001, SR-NYSE-2024-03, SR-NYSEAMER-2024-02, SR-NYSEARCA-2024-02, SR-NYSECHX-2024-02, SR-NYSENAT-2024-01, SR-PEARL-2024-01, SR-PEARL-2024-02, SR-Phlx-2024-01 | BOX Exchange LLC (BOX), Nasdaq BX, Inc. (BX), Cboe C2 Exchange, Inc. (C2), Cboe Exchange, Inc. (CBOE), Cboe BYX Exchange, Inc. (CboeBYX), Cboe BZX Exchange, Inc. (CboeBZX), Cboe EDGA Exchange, Inc. (CboeEDGA), Cboe EDGX Exchange, Inc. (CboeEDGX), MIAX Emerald, LLC (EMERALD), Financial Industry Regulatory Authority (FINRA), Nasdaq GEMX, LLC (GEMX), Investors Exchange LLC (IEX), Nasdaq ISE, LLC (ISE), Long-Term Stock Exchange, Inc. (LTSE), MEMX LLC (MEMX), Miami International Securities Exchange, LLC (MIAX), Nasdaq MRX, LLC (MRX), The Nasdaq Stock Market LLC (NASDAQ), New York Stock Exchange LLC (NYSE), NYSE American LLC (NYSEAMER), NYSE Arca (NYSEARCA), NYSE Chicago, Inc. (NYSECHX), NYSE National, Inc. (NYSENAT), MIAX PEARL, LLC (PEARL), Nasdaq PHLX LLC (Phlx) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan G View Received Comments |