Rule Filings | FINRA.org

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sf-no-children"><a href="/registration-exams-ce/funding-portals" class="sf-depth-4" aria-labelledby="Funding Portals">Funding Portals</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li 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href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul 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header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li 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the <a href="https://tools.finra.org/rule_filings/">Rule Filing Status Report</a>.</p> </div> <div class="view-filters"> <form class="views-exposed-form bef-exposed-form" data-bef-auto-submit-full-form="" data-bef-auto-submit="" data-bef-auto-submit-delay="500" data-drupal-selector="views-exposed-form-rule-filings-page" action="/rules-guidance/rule-filings" method="get" id="views-exposed-form-rule-filings-page" accept-charset="UTF-8"> <div class="views-exposed-form bef-exposed-form form-row" data-bef-auto-submit-full-form="" data-bef-auto-submit="" data-bef-auto-submit-delay="500" data-drupal-selector="views-exposed-form-rule-filings-page"> <fieldset class="js-form-item js-form-type-select form-type-select js-form-item-status form-item-status form-group"> <label for="edit-status">Status</label> <select data-drupal-selector="edit-status" id="edit-status" name="status" class="form-select form-control"><option value="All" selected="selected">- Any -</option><option value="0">New</option><option value="1">Updated</option><option value="2">None</option></select> </fieldset> <fieldset data-drupal-selector="edit-custom-year-wrapper" id="edit-custom-year-wrapper" class="js-form-item form-item js-form-wrapper form-wrapper mb-3"> <legend> <span class="fieldset-legend">Node: field_core_official_dt (year)</span> </legend> <div class="fieldset-wrapper"> <fieldset class="js-form-item js-form-type-select form-type-select js-form-item-custom-year-year form-item-custom-year-year form-group"> <label for="edit-custom-year-year">Year</label> <select data-drupal-selector="edit-custom-year-year" id="edit-custom-year-year" name="custom_year[year]" class="form-select form-control"><option value="any" selected="selected">- Any -</option><option value="0">2024</option><option value="1">2023</option><option value="2">2022</option><option value="3">2021</option><option value="4">2020</option><option value="5">2019</option><option value="6">2018</option><option value="7">2017</option><option value="8">2016</option><option value="9">2015</option><option value="10">2014</option><option value="11">2013</option><option value="12">2012</option><option value="13">2011</option><option value="14">2010</option><option value="15">2009</option><option value="16">2008</option><option value="17">2007</option><option value="18">2006</option><option value="19">2005</option><option value="20">2004</option><option value="21">2003</option><option value="22">2002</option><option value="23">2001</option><option value="24">2000</option><option value="25">1999</option><option value="26">1998</option><option value="27">1997</option></select> </fieldset> </div> </fieldset> <div data-drupal-selector="edit-actions" class="form-actions js-form-wrapper form-group" id="edit-actions"><input data-bef-auto-submit-click="" class="js-hide button js-form-submit form-submit btn btn-primary" data-drupal-selector="edit-submit-rule-filings" type="submit" id="edit-submit-rule-filings" value="Apply" /> </div> </div> </form> </div> <div class="view-content"> <div class="table-responsive col"> <table class="table views-table views-view-table cols-2 responsive-enabled"> <thead class=''> <tr> <th class="priority-low views-field views-field-field-rule-number-tx is-active" id="view-field-rule-number-tx-table-column" aria-sort="descending" scope="col"><a href="?status=All&custom_year%5Byear%5D=any&order=field_rule_number_tx&sort=asc" title="sort by Rule Filing Number">Rule Filing Number<span class="tablesort tablesort--asc"> <span class="visually-hidden"> Sort ascending </span> </span> </a></th> <th class="priority-low views-field views-field-field-core-short-title-tx" id="view-field-core-short-title-tx-table-column" scope="col"><a href="?status=All&custom_year%5Byear%5D=any&order=field_core_short_title_tx&sort=asc" title="sort by Title">Title</a></th> </tr> </thead> <tbody> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-024">SR-FINRA-2024-024</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Implement Prospective CAT Cost Recovery Fee 2025-1 </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-023">SR-FINRA-2024-023</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column"> Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Prospective CAT Fee 2025-1 </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-022">SR-FINRA-2024-022</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-021">SR-FINRA-2024-021</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on their Age or Health Condition </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-020">SR-FINRA-2024-020</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Adopt FINRA Rule 7720 (Securities Lending and Transparency Engine (SLATE)) </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-019">SR-FINRA-2024-019</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA's Regulatory Mission </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-018">SR-FINRA-2024-018</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-017">SR-FINRA-2024-017</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-016">SR-FINRA-2024-016</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-015">SR-FINRA-2024-015</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-014">SR-FINRA-2024-014</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Implement a Historic CAT Cost Recovery Fee </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" 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views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-011">SR-FINRA-2024-011</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail </td> </tr> <tr> <td class="width30 priority-low views-field views-field-field-rule-number-tx is-active" headers="view-field-rule-number-tx-table-column"><a target="_blank" href="/rules-guidance/rule-filings/sr-finra-2024-010">SR-FINRA-2024-010</a> </td> <td class="width70 priority-low views-field views-field-field-core-short-title-tx" headers="view-field-core-short-title-tx-table-column">Proposed Rule Change to Amend FINRA Rule 8312 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