Regulatory Notice 09-44

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds; Comment Period Expired: September 14, 2009

Executive Summary

As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed consolidated FINRA rule governing fidelity bond requirements.

 

The text of the proposed rule is set forth in Attachment A. Examples of estimated fidelity bond premiums for different-sized firms under the proposed rule are set forth in Attachment B.

 

Questions concerning this Notice may be directed to:

 

  • Susan DeMando Scott, Associate Vice President, Financial Operations Policy, at (202) 728-8411; or
  • Erika L. Lazar, Senior Attorney, Office of General Counsel, at (646) 315-8512.

 

View Full Notice PDF 134 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
First Asset Financial Inc. (PDF 325 KB) 8/4/2009
Pointe Capital, Inc. (PDF 14 KB) 8/6/2009
Isaak Bond Investments, Inc. (PDF 69 KB) 8/12/2009
Doug Schriner (PDF 14 KB) 8/26/2009
First Georgetown Securities, Inc. (PDF 14 KB) 8/29/2009
Insurance Services Office, Inc. (PDF 31 KB) 9/11/2009
Daniel Kwiecinski (PDF 31 KB) 9/12/2009
Farmers Financial Solutions, LLC (PDF 16 KB) 9/14/2009
Arthur J. Gallagher & Co. (PDF 143 KB) 9/14/2009
Howe Barnes Hoefer & Arnett, Inc. (PDF 507 KB) 9/14/2009
Akin Bay Company LLC (PDF 75 KB) 9/14/2009
The Travelers Companies, Inc. (PDF 38 KB) 9/14/2009
The Surety & Fidelity Association of America (PDF 148 KB) 9/14/2009