Regulatory Notice 08-26

Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expired: June 13, 2008

Executive Summary

As part of the process of developing a new consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is proposing to adopt a new FINRA rule based on NASD Rule 2280 (Investor Education and Protection). The rule would require member firms, with certain exceptions, to provide customers with FINRA's Web site address and information regarding FINRA's BrokerCheck program at least once every calendar year. The text of the proposed rule is set forth in Attachment A. Questions regarding this Notice should be directed to Rachael Grad, Counsel, Office of General Counsel, at (202) 728-8290.

 

1. For more information about the rulebook consolidation process, see FINRA Information Notice, March 12, 2008 (Rulebook Consolidation Process).

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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
P. R. Gilboy & Associates, Inc. 5/15/2008
UBS Investment Bank 5/21/2008
Francis Financial Services, Inc. 6/9/2008
MassMutual Financial Group (PDF 68 KB) 6/12/2008
Stephen R. Kinkade 6/13/2008
SUTHERLAND (PDF 84 KB) 6/13/2008
Wachovia Securities LLC (PDF 71 KB) 6/13/2008
George K. Baum & Company 6/13/2008
Financial Services Institute (PDF 75 KB) 6/13/2008