Regulatory Notice 08-80
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution; Comment Period Expired: January 29, 2009
As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on proposals relating to FINRA's rule on best execution and interpositioning. There are four primary proposed amendments that are described in this Notice:
The text of the proposed rule is set forth in Attachment A.
Questions concerning this Notice should be directed to the Office of General Counsel, at (202) 728-8071.
The comment period was extended to February 27, 2009.
|View Full Notice||PDF 144 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|
|Scottrade, Inc. (PDF 34 KB)||1/29/2009|
|Sidley Austin LLP (PDF 116 KB)||1/29/2009|
|First Allied Securities, Inc. (PDF 44 KB)||2/3/2009|
|Cutter & Co., Inc. (PDF 13 KB)||2/18/2009|
|NAIBD (PDF 59 KB)||2/25/2009|
|SIFMA (PDF 113 KB)||2/26/2009|
|FSI (PDF 61 KB)||2/27/2009|
|Pink OTC Markets, Inc. (PDF 136 KB)||3/20/2009|
|Liquidnet, Inc. (PDF 325 KB)||4/27/2009|