Regulatory Notice 08-71
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: December 29, 2008
As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is requesting comment on a proposal relating to the FINRA reporting requirements.
The text of the proposed rule is set forth in Attachment A.
Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.
1 The current FINRA rulebook includes (1) NASD Rules and (2) rules incorporated from NYSE (Incorporated NYSE Rules). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (Dual Members). For more information about the rulebook consolidation process, see Information Notice 03/12/08 (Rulebook Consolidation Process).
The comment period was extended to January 16, 2009.
|View Full Notice||PDF 172 KB|
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|
|Puplava Securities, Inc. (PDF 39 KB)||12/4/2008|
|NAIBD (PDF 55 KB)||12/29/2008|
|Farmers Financial Solutions, LLC (PDF 16 KB)||12/29/2008|
|Cutter & Company, Inc. (PDF 55 KB)||12/29/2008|
|Sutherland (PDF 354 KB)||12/29/2008|
|GBS Financial Corp. (PDF 18 KB)||12/30/2008|
|R.F. Lafferty & Co., Inc. (PDF 17 KB)||12/30/2008|
|Pointe Capital, Inc. (PDF 23 KB)||12/30/2008|
|Goodwin Browning & Luna Securities (PDF 23 KB)||12/30/2008|
|OmniCap, LLC (PDF 24 KB)||12/30/2008|
|Wachovia Securities, LLC (PDF 28 KB)||12/30/2008|
|Financial Telesis Inc. (PDF 88 KB)||1/5/2009|
|Askar Corp. (PDF 169 KB)||1/6/2009|
|Northwestern Mutual Investment Services, LLC (PDF 884 KB)||1/15/2009|
|Investment Company Institute (PDF 52 KB)||1/15/2009|
|Financial Services Institute (PDF 72 KB)||1/16/2009|
|NSCP (PDF 226 KB)||1/16/2009|
|SIFMA (PDF 43 KB)||1/16/2009|
|State Farm VP Management Corp. (PDF 252 KB)||1/16/2009|
|PFS Investments Inc. (PDF 61 KB)||1/16/2009|
|Charles Schwab & Co. Inc. (PDF 671 KB)||1/16/2009|