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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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-2014-038

Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook.FINRA Rule 3110PendingYes10/24/2014 4/24/2014 and 12/1/2014

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 8311PendingYes10/22/2014 The effective date will be no later than 240 days following 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 9217PendingYes11/4/2014 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 13100PendingYes11/6/2014 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.

SR-FINRA-2008-069

Rule change to amend NASD Rule 3340 to permit members, under certain limited circumstances, to route unsolicited customer orders for execution outside the United States while a trading halt is in effect in the United States.NASD Rule 3340PendingNo  The proposed rule change will become effective upon SEC approval.

SR-FINRA-2007-004

Rule change to amend NASD Rules 1021 and 1031.NASD Rules 1021 and 1031PendingNo  The effective date of the proposed rule change will be immediate upon publication of the Regulatory Notice announcing Commission approval

SR-NASD-2006-044

Rule change to adopt Interpretive Material to NASD Rule 3060 to require members to adopt policies and procedures addressing business entertainment.NASD IM-3060PendingYes6/12/2007 The effective date of the proposed rule change will be one year 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 9232ApprovedYes9/11/201410/2/20149/26/2014
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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: 10/20/2014