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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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 Filing	Description	Rules Affected	Status	Noticed by the SEC for Comment	Expiration of the SEC Comment Period	Federal Register Notice Date	Implementation Date(s)
SR-FINRA-2008-040	Rule change to amend NASD Rule 6230(c) to eliminate the requirement to report yield to the Trade Reporting and Compliance Engine ("TRACE") system.	NASD Rule 6230	Pending	No			The effective date will be no later than 90 days following publication of the Regulatory Notice announcing Commission approval.
SR-FINRA-2008-039	Rule change to adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Reg M) in the Consolidated FINRA Rulebook.	FINRA Rules 5110, 5190 and 6470	Pending	No			FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following Commission approval.
SR-FINRA-2008-038	Rule change to amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to define market letters as correspondence rather than as sales literature.	NASD Rules 2210, 2211 and NYSE Rule 472	Pending	No			The implementation date will be the date FINRA publishes the Regulatory Notice announcing Commission approval.
SR-FINRA-2008-036	Rule to amend certain NYSE Rules to reduce regulatory duplication and relieve firms that are members of both FINRA and the NYSE of conflicting or unneccesary regulatory burdens in the interim period before a consolidated FINRA rulebook is completed.	NYSE Rules 2, 134, 282, 283, 285, 286, 287, 288, 289, 290, 311, 312, 313, 321, 342, 345, 345A, 346, 351, 352, 353, 354, 401, 404, 405, 407, 408, 409, 410, 412, 414, 424, 431, 435, 436, 440F, 440G,	Pending	Yes	8/4/2008		Following Commission approval of the proposed rule change, FINRA will publish a Regulatory Notice(s) setting forth the effective date(s) of the proposals.
SR-FINRA-2008-035	Rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to add the fees charged for the Series 14 and Series 16 examinations.	Schedule A to FINRA By-Laws	Pending	No			FINRA proposes that the effective date for the amendments to Schedule A be retroactive to July 30, 2007, to coincide with the date FINRA assumed ownership of the Series 14 and the Series 16 examinations.
SR-FINRA-2008-033	Rule change to adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook.	FINRA Rule 4560	Pending	No			FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following Commission approval.
SR-FINRA-2008-031	Rule change to amend the Uniform Submission Agreement.	NASD Rule 12000 and 13000 Series	Pending	Yes	8/6/2008		The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval.
SR-FINRA-2008-030	Rule change to adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook.	FINRA Rule 3130	Pending	Yes	8/5/2008		FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following Commission approval.
SR-FINRA-2008-029	Rule change to repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as part of the process of developing the Consolidated FINRA Rulebook.	NASD Rule 1130, NYSE Rules 405A, 440F and 477	Pending	No			FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following Commission approval.
SR-FINRA-2008-028	Rule change to adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook.	FINRA Rules 2010, 2020 and 5150	Pending	Yes	7/31/2008		FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 60 days following 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.