FINRA Rule Filings

SR-FINRA-2026-004

SR-FINRA-2026-004 — Tue, 02/10/2026 - 12:00

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.

SR-FINRA-2026-003

SR-FINRA-2026-003 — Mon, 01/26/2026 - 12:00

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt FINRA Rule 7660B (FINRA/NYSE Trade Reporting Facility Fees For Non-Participants) to establish a new fee applicable to FINRA members that do not use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”) for trade reporting but elect to purchase specified services.

SR-FINRA-2026-002

SR-FINRA-2026-002 — Thu, 01/22/2026 - 12:00

SR-FINRA-2026-001

SR-FINRA-2026-001 — Tue, 01/13/2026 - 12:00

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.

SR-FINRA-2025-005

SR-FINRA-2025-005 — Wed, 06/04/2025 - 12:00

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 Capital Acquisition Broker Rules.

SR-FINRA-2025-011

SR-FINRA-2025-011 — Tue, 07/08/2025 - 12:00

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 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 from opening at 8:00 a.m. Eastern Time (“E.T.”) to opening at 4:00 a.m. E.T.

SR-FINRA-2025-009

SR-FINRA-2025-009 — Tue, 06/24/2025 - 12:00

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 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) for the period from July 1, 2025 through December 31, 2025.

SR-FINRA-2025-006

SR-FINRA-2025-006 — Wed, 06/04/2025 - 12:00

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend provisions of the FINRA Rule 9000 Series (Code of Procedure) and Funding Portal Rule 900 Series (Code of Procedure) that require or allow for a sanction or other regulatory measure to take effect immediately.

SR-FINRA-2025-004

SR-FINRA-2025-004 — Mon, 06/02/2025 - 12:00

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to stay the effectiveness of specified expulsions and FINRA actions.

SR-FINRA-2025-003

SR-FINRA-2025-003 — Thu, 05/29/2025 - 12:00

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 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters.