When FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members and the general public regarding the modification or addition and to allow for comment. It does this by a Notice of Rule Filing, which is published on its website. Here are the most recent Rule Filings,
If you have a question about these rule filings, email Mark Astarita. Mark has been dealing with FINRA and its rules and regulations for over 30 years. He has represented over 60 brokerage and trading firms, hedge funds, investment advisors, and individual investors across the country.
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A complete list of all FINRA rule filings, with the status of each, is available at FINRA’s website.
Last updated on June 12th, 2021
Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
