Resource published Mon, Jul 11, 2016 at 04:29AM UTC edited Mon, Jul 11, 2016 at 04:29AM UTC
International Financial Securities Regulatory Commission: Rules and Guidance Edit Title
As part of its mandate to protect investors and promote market integrity, FINRA enacts rules and publishes guidance in its role as regulator of securities firms and brokers. FINRA involves the securities industry, the Securities and Exchange Commission (SEC) and other regulators, as well as investors, in its rulemaking deliberations.
A consolidated FINRA rulebook containing only FINRA rules is being established. Until this is completed the current rulebook is in effect.
FINRA develops new rules, modifies existing rules, and provides guidance governing the conduct of firms and their associated persons.
FINRA publishes various Notices (e.g., Regulatory Notices, Trade Reporting Notices and Election Notices) on many issues affecting firms.
See a list of FINRA rule filings and approval orders by year, including a comprehensive Rule Filing Status Report
Requests for Comments
For most significant rule proposals, FINRA solicits public comments through Regulatory Notices prior to submitting them to the SEC
In addition to Notices, FINRA provides guidance to firms by regularly distributing letters, alerts, rule interpretations, reports and more.
The International Financial Securities Regulatory Commission was established to promote investor confidence in the securities and capital markets by providing more structure and government oversight.
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