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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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-2014-021

Rule change to amend Rule 11892 to add new provisions to address multi-day clearly erroneous events, transactions occurring during trading halts, and to make non-substantive clarifications to the rule.FINRA Rule 11892PendingNo  To be announced

SR-FINRA-2014-020

Rule change to adopt FINRA Rule 2081 to prohibit member firms and associated persons from conditioning or seeking to condition settlement of a dispute with a customer on, or to otherwise compensate the customer.FINRA Rule 2081PendingNo  The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-018

Rule change to adopt FINRA Rule 4553 (Fees for ATS Data) to establish a fee schedule for optional professional access to alternative trading system ("ATS") volume information published by FINRA on its website.FINRA Rule 4553PendingYes5/6/2014 FINRA is proposing that the proposed rule change be effective upon Commission approval.

SR-FINRA-2014-012

Rule change to amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools).FINRA Rules 2210 and 2214PendingYes4/21/2014 The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-010

Rule change to adopt FINRA Rule 2243, which would establish disclosure and reporting obligations related to member recruitment practices.FINRA Rule 2243PendingYes4/18/2014 The effective date will be no later than 180 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-008

Rule change to amend FINRA Rules 12300 and 13300 relating to protecting personal confidential information in documents filed with FINRA Dispute Resolution.FINRA Rules 12300, 12307, 13300 and 13307PendingYes3/21/2014 The effective date will be no later than 30 days following publication of the Regulatory Notice announcing 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 2340PendingYes3/12/2014 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 Rule 12104 of the Code of Arbitration Procedure for Customer Disputes and Rule 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 13104PendingYes3/12/2014 The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval.

SR-FINRA-2014-004

Rule change to amend FINRA Rule 5110 (Corporate Financing Rule -- Underwriting Terms and Arrangements) to expand the circumstances in which termination fees and rights of first refusal are permissible, and to make other changes to the rule.FINRA Rule 5110PendingYes3/4/2014 The effective date of the proposed rule change will be no later than 120 days following Commission approval.

SR-FINRA-2014-003

Rule change to amend FINRA Rules 5110 and 5121 to simplify and refine the scope of the rules.FINRA Rules 5110 and 5121PendingYes2/19/2014 The effective date of the proposed rule change will be 30 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.

Last updated on: 4/23/2014