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.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“
SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to make changes to certain provisions relating to arbitrator list selection.
Author: SR-FINRA-2026-017
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities).
Author: SR-FINRA-2026-002
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (“TRACE”) to expand the scope of the non-member affiliate—principal transaction indicator to also include member affiliates.
Author: SR-FINRA-2026-009
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3290 (Outside Activities Requirements) and to delete existing FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). The amended requirements focus on outside activities appropriately within members’ purview that potentially present heightened risks for members and the public.
Author: SR-FINRA-2026-001
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) to expand the current exception from the rule’s principal approval requirements to apply to all allocations of bulk investment adviser orders, irrespective of when allocation instructions are received.
Author: SR-FINRA-2026-016
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 6320A, 6320B, 6380A, and 6380B regarding the operation of the FINRA/NYSE Trade Reporting Facility, the FINRA/Nasdaq Trade Reporting Facility Carteret, and the FINRA/Nasdaq Trade Reporting Facility Chicago (the “Trade Reporting Facilities” or “TRFs”) to extend TRF operating hours such that the TRFs are operational from 9:00 p.m. Eastern Time (“E.T.”) on Sundays to 8:00 p.m. E.T.
Author: SR-FINRA-2026-015
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1210 (Registration Requirements) to reduce the waiting periods for retaking FINRA qualification examinations.
Author: SR-FINRA-2026-014
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.
Author: SR-FINRA-2026-013
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2210 (Communications with the Public). The proposed rule change would allow a member to project the performance or provide a targeted return with respect to a security, a securities portfolio, or an asset allocation or other investment strategy in its communications, subject to specified conditions to ensure these projections are carefully derived from a sound basis.
Author: SR-FINRA-2026-004
Posted: August 13, 2026, 11:16 am
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt specified collective trust funds (“CTFs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions).
Author: SR-FINRA-2026-007
Posted: August 13, 2026, 11:16 am
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.
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