FINRA Rule Filing Status Report

The FINRA Rule Filing Status Report provides firms with a comprehensive list of FINRA rule filings currently pending with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months. Note that there may be a short delay (up to 2 business days) between the filing of a rule change with the SEC and the posting of the rule filing on FINRA's Web site. As a result, during this time period, a rule change may be referenced on the Rule Filing Status Report but not yet appear elsewhere on the FINRA site. For questions or comments regarding the FINRA Rule Filing Status Report, please use this feedback form.

Column Heading Descriptions
{{ header.title }}



{{rf.status}} {{rf.initialFilingDate | date:'yyyy-MM-dd'}} {{rf.commentPeriodExpirationDate | date:'yyyy-MM-dd'}} {{rf.fedralRegistorNoticeDate| date:'yyyy-MM-dd'}} {{imdate | date:'yyyy-MM-dd'}} Notes.. {{rf.lastModified | date:'yyyy-MM-dd'}} Details

Your search criteria returned no results. Please change your search criteria and try again.

The information presented in this report is deemed reliable and accurate; however, while FINRA will make every best effort to ensure the accuracy of information presented herein, FINRA is not responsible for any inaccuracies between this report and information filed with the SEC. Use of this status report does not guarantee compliance with regulatory requirements nor create a safe harbor from regulatory responsibility.

Last updated on: {{filterCriteria.dataLoadDate | date:'MM/dd/yyyy'}}