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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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Filter by Status:  --All-- Approved Filed for Immediate Effectiveness Pending Withdrawn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 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-2013-007 Returned 2/1/2013 - Rule change to amend FINRA Rule 8312 to permanently make publicly available in BrokerCheck information about former associated persons of a member firm who were the subject of an investment-related civil action. FINRA Rule 8312 Returned No     The effective date will be no later than 180 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2012-057 Returned 1/4/13 -Rule change to amend FINRA Rule 4530 to: provide an exception for information disclosed on the Form U4; enable members to file required documents with FINRA online; and provide an exception from the rule for findings and actions by FINRA. FINRA Rule 4530 Returned No       SR-FINRA-2012-022 Returned 5/10/12 - Rule change to amend FINRA Rule 7610A to codify the definition of and methodology for determining "attributable revenue" for purposes of calculating securities transaction credits earned by members that use the FINRA/Nasdaq TFR. FINRA Rule 7610A Returned No     5/2/2012 SR-FINRA-2012-013 Returned 2/15/12 - Rule change to provide a method for compensating FINRA members that may have incurred additional costs due to a system issue of the FINRA/NASDAQ Trade Reporting Facility ("FINRA/NASDAQ TRF") and OTC Reporting Facility ("ORF"). No change to Manual Returned No       SR-FINRA-2012-002 Returned 1/13/12 - Rule change to amend FINRA Rule 7730 to establish fees in connection with two new optional Trade Reporting and Compliance Engine ("TRACE") data delivery services. FINRA Rule 7730 Returned No       SR-FINRA-2011-010 Returned 3/3/2011 - Rule change to amend the FINRA Rule 6700 Series and FINRA Rule 7730 relating to TRACE reporting of Asset-Backed Securities. FINRA Rule 6700 Series and 7730 Returned No       SR-FINRA-2010-055 Disapproved 2/10/11-- Rule Change to Amend FINRA Rules 6130, 6140, and 6220 to eliminate the provisions regarding the handling of stop orders, delete definitions relating to stop stock transactions and relocate the definition of "initial public offering." FINRA Rules 6130, 6140 and 6220 Disapproved No       SR-FINRA-2013-025 Rule change to adopt FINRA Rules 3110 (Supervision) and 3120 (Supervisory Control System) to largely replace NASD Rules 3010 (Supervision) and 3012 (Supervisory Control System), respectively. NASD IM-1000-4, NASD Rule 3010, IM-3010-1 and NASD Rule 3012 Pending No     The effective date will be no later than 365 days following Commission approval. SR-FINRA-2013-024 Rule change to amend the Discovery Guide used in customer arbitration proceedings to provide general guidance on electronic discovery issues and product cases. No change to Manual Pending No     The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval. SR-FINRA-2013-023 Rule change to amend FINRA Rule 12403 to simplify arbitration panel selection in cases with three arbitrators. FINRA Rules 12403, 12213, 12309, 12314, 12404, 12800, and 12903 Pending No     The effective date will be no later than 30 days following publication of the Regulatory Notice announcing Commission approval. 1 2 3 4 5 6 7

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.