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Last updated on: 7/23/2008

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with the SEC as well as FINRA rule filings approved by the SEC, filed with the SEC for immediate effectiveness, or withdrawn within the last six months.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-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 6230PendingNo  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 6470PendingNo  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 472PendingNo  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,PendingYes8/4/2008 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-LawsPendingNo  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 4560PendingNo  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 SeriesPendingYes8/6/2008 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 3130PendingYes8/5/2008 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 477PendingNo  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 5150PendingYes7/31/2008 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.
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