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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months. FINRA Dispute Resolution rule filings are currently not included in this report and may be found here.

Click on the specific rule filing number to view more detailed information. 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.
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Rule FilingDescriptionRules AffectedStatusNoticed by the SEC for CommentExpiration of the SEC Comment PeriodFederal Register Notice DateImplementation Date(s)

SR-FINRA-2014-037

Rule change to adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons), in the consolidated FINRA rulebook.FINRA Rules 0190, 2040 and 8311PendingNo  The effective date will be no later than 240 days following Commission approval.

SR-FINRA-2014-036

Rule change to amend FINRA Rule 9231, and make a conforming amendment to FINRA Rule 9232, to add a category of persons eligible to be a Panelist on a Hearing Panel or an Extended Hearing Panel constituted to conduct disciplinary proceedings.FINRA Rules 9231 and 9232PendingYes9/11/2014 The effective date of the proposed rule change will be the date of Commission approval.

SR-FINRA-2014-030

Proposed amendments regarding quotation requirements for unlisted equity securities and deleting the rules related to the OTC Bulletin Board Service ("OTCBB") and ceasing its operation.FINRA Rules 6431, 6510, 6520, 6530, 6540, 6550, 7720, 7740 and 9217PendingYes8/5/2014 The effective date will be no later than 180 days following Commission approval.

SR-FINRA-2014-028

Rule change to amend FINRA Rules 12100 and 13100 to refine and reorganize the definitions of "non-public" arbitrator and "public" arbitrator.FINRA Rules 12100 and 13100PendingYes7/24/2014 The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-026

Rule change to amend FINRA Rules 12000 and 13000 Series to increase arbitration filing fees, member surcharges and process fees, and hearing session fees for the primary purpose of increasing arbitrator honoraria.FINRA Rules 12214, 12800, 12900, 12901, 12902, 12903, 13214, 13800, 13900, 13901, 13902 and 13903PendingYes7/23/2014 The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-025

Rule change to adopt a supplemental schedule for inventory positions pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).No change to ManualPendingYes7/17/2014 The proposed rule change will be effective upon Commission approval.

SR-FINRA-2014-006

Rule change to amend FINRA Rules 2310, 5110, and NASD Rule 2340 relating to per share estimated valuations for unlisted direct participation program and real estate investment trust securities.FINRA Rules 2310, 5110; NASD Rule 2340PendingYes8/12/2014 The effective date of the proposed rule change will be announced in a Regulatory Notice no later than 90 days following Commission approval.

SR-FINRA-2014-005

Rule change to amend FINRA Rules 12104 of the Code of Arbitration Procedure for Customer Disputes and 13104 of the Code of Arbitration Procedure for Industry Disputes to broaden arbitrators’ authority to make referrals during an arbitration proceeding.FINRA Rules 12104 and 13104PendingYes7/11/2014 The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2009-077

Rule change to amend FINRA Rules 6400, 6500 and 7700 Series to restructure quotation collection and dissemination for OTC Equity Securities.FINRA Rule 6400, 6500 and 7700 Series; and Rule 9217PendingYes12/14/2009 No sooner than 60 days and no later than 365 days from Commission approval.

SR-FINRA-2009-040

Rule change to adopt FINRA Rule 2380 to limit the leverage ratio offered by Broker-Dealers for certain Forex transactions.FINRA Rule 2380PendingYes12/29/2009 The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval.
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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: 9/16/2014