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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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

Column Heading Descriptions

Filter by Status:  --All-- Approved Filed for Immediate Effectiveness Pending Withdrawn

1 2 3 4 5 6 7 8 9 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-2008-059 Returned 3/24/2009- Rule change to adopt FINRA Rules 2080, 2266, 2310 and 4551 in the Consolidated FINRA Rulebook. FINRA Rules 2080, 2266, 2310 and 4551 Returned No     FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. SR-FINRA-2009-076 Rule change to amend the FINRA Rule 9550 Series (Expedited Proceedings) FINRA Rules 9552, 9554 and 9559 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-075 Rule change to amend FINRA Rules 12206, 12902, 13601 and 13601to clarify the applicability of the fee waiver provision of the postponement rule and to codify the hearing session fee for an unspecified damages claim heard by one arbitrator. FINRA Rules 12206, 12902, 13601 and 13902 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-074 Rule change to amend FINRA Rule 9251 to explicitly protect from discovery those documents that are prohibited from disclosure by Federal law. FINRA Rule 9251 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-073 Rule change to amend Rules 12213 and 13213 of the Customer and Industry Codes, respectively, to expand the criteria for selecting a hearing location for an arbitration proceeding. FINRA Rules 12213 and 13213 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-072 Rule change to amend Rules 12307 and 13307 of the Customer and Industry Codes, respectively, to clarify the date of filing of an arbitration claim once a deficiency is corrected. FINRA Rules 12307 and 13307 Pending No     The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-070 Rule change to adopt FINRA Rule 2211 Communications with the Public About Variable Insurance Products in the Consolidated FINRA Rulebook. FINRA Rule 2211 Pending No     FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. SR-FINRA-2009-069 Rule change to adopt new FINRA Rule 7550 to impose an excess capacity usage fee on ADF Trading Centers that exceed their certified volume levels pursuant to a new FINRA ADF Capacity Management Plan. FINRA Rules 7750 through 7580 Pending No       SR-FINRA-2009-068 Rule change to adopt FINRA Rule 11890 Series in the Consolidated FINRA Rulebook. FINRA Rule 11890 Series Pending Yes 11/18/2009   The effective date will be 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2009-067 Rule change to adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook. FINRA Rules 2060 and 5290 Pending Yes 11/18/2009   FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90 days following Commission approval. 1 2 3 4 5 6 7 8 9

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.