Regulation
FINRA Comment Letters
9/28/12 - Joint SRO Comment Letter to the SEC Regarding File No. 4-652 – SEC Technology and Trading Roundtable
2/17/11 - FINRA Comment Letter to the CFTC Regarding RIN No. 3038-AD08 – Real-Time Public Reporting of Swap Transaction Data
1/28/11 - FINRA Comment Letter to the SEC Regarding Regulation SBSR – Reporting and Dissemination of Security-Based Swap Information
11/2/10 - FINRA Comment Letter to the SEC Regarding Commission Study on Enhancing Investment Adviser Examinations Mandated by Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
8/25/10 - FINRA Comment Letter to the SEC Regarding File No. 4-606, Study Obligations of Brokers, Dealers and Investment Advisers
8/9/10 - FINRA and NYSE Euronext Comment Letter to the SEC regarding file No. S7-11-10, Proposed Rule on Consolidated Audit Trail
8/9/10 - FINRA Comment Letter to SEC regarding File No. S7-11-10, Proposed Rule on Consolidated Audit Trail
4/23/10 - FINRA Comment Letter to SEC regarding File No. S7-02-10, Concept Release on Equity Market Structure
3/25/10 - FINRA Comment Letter to SEC regarding File No. S7-03-10, Risk Management Controls for Brokers or Dealers with Market Access
9/2/08 - FINRA Comment Letter to SEC regarding File No. S7-16-08, Exemption of Certain Foreign Brokers or Dealers
8/11/08 - FINRA Comment Letter to SEC regarding File No. S7-14-08; Proposed Changes to Definition of Equity Indexed Annuities and Certain other Insurance Contracts
5/12/08 - FINRA Comment Letter to SEC regarding File No. S7-06-08; Release Nos. 34-57427; IC-28178; IA-2712--Notice of Filing of Proposed Rule Change to Amend Regulation S-P.
11/27/07 - FINRA Comment Letter to SEC regarding Proposed National Market System Plan (SEC File Nos. 4-533 and 4-534)
8/29/07 - FINRA Comment Letter to SEC regarding File No. SR-NASDAQ-2007-001, Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq’s "Clearly Erroneous" Rule.
4/19/07 - NASD Comment Letter to SEC regarding File No. S7-22-06, Definition of Terms and Exemptions Relating to the "Broker" Exceptions for Banks.
2/16/06 - NASD Comment Letter to SEC regarding File No. SR-NYSE-2005-77, Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Relating to the Exchange's Business Combination with Archipelago Holdings, Inc.
4/4/05 - NASD Comment Letter on Proposed Rule:
Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Release Nos. 34-50980; IA-2340; File No. S7-25-99
3/31/05 - NASD Comment Letter to SEC regarding Investment Company Act Release No. 26778 (March 1, 2005) (the "Supplemental Request for Comment")
3/15/05 - NASD Comment Letter on Concept Release:
Concept Release Concerning Self-Regulation -- File No. S7-40-04
SEC Concept Release Concerning Self-Regulation
Release No. 34-50700; File No. S7-40-04
3/8/05 - NASD Comment Letter on Proposed Rule:
Notice of Proposed Rulemaking Concerning Governance,
Administration, Transparency, and Ownership of Self-Regulatory Organizations -- File No. S7-39-04
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self- Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self- Regulatory Organization -- File No. S7-39-04
2/11/05 - NASD Comment Letter on Proposed Rule:
Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99 ("Proposing Release")
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Release Nos. 34-50980; IA-2340; File No. S7-25-99
5/4/04 - NASD Comment Letter to SEC regarding disclosure for transactions in certain mutual funds and other securities.
6/20/03 - NASD Comment Letter - SEC Release No. 34-47849 (File No. S7-11-03)