Regulatory Notice 09-69
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons; Comment Period Expired: February 1, 2010
As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed FINRA rule regarding payments to unregistered persons. Proposed FINRA Rule 2040 (Payments to Unregistered Persons) would be a new consolidated rule that streamlines the provisions of current:
The text of the proposed rule is set forth in Attachment A.
Questions concerning this Notice should be directed to Kosha K. Dalal, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-6903.
|View Full Notice||PDF 132 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|
|Intercam Securities, Inc. (PDF 54 KB)||1/21/2010|
|monex Securities (PDF 335 KB)||1/29/2010|
|Morgan, Lewis & Bockius LLP (PDF 322 KB)||2/1/2010|
|Sutherland Asbill & Brennan LLP (PDF 77 KB)||2/1/2010|
|Plexus Consulting LLC (PDF 35 KB)||2/1/2010|
|The LeGaye Law Firm P.C. (PDF 306 KB)||2/1/2010|
|NASAA (PDF 29 KB)||2/16/2010|