Regulatory Notice 11-08

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees

 

Comment Period Expired: March 28, 2011

Executive Summary

As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook) FINRA is requesting comment on the proposed consolidated FINRA rules governing markups, markdowns, commissions and fees.


The text of the proposed rules is available as Attachment A on our website at www.finra.org/notices/11-08.


Questions regarding this Notice should be directed to Sharon K. Zackula, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8985.

View Full Notice PDF 151 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
Moloney Securities Co., Inc. (PDF 16 KB) 3/7/2011
NASAA (PDF 45 KB) 3/15/2011
Churchill Financial, LLC (PDF 124 KB) 3/15/2011
Horwitz and Associates, Inc, (PDF 28 KB) 3/22/2011
Barry D. Estell (PDF 10 KB) 3/23/2011
Law Offices of Scott T. Beall (PDF 843 KB) 3/24/2011
National Planning Holdings, Inc. (PDF 36 KB) 3/26/2011
J.W. Korth & Co. (PDF 78 KB) 3/28/2011
Law Offices of Steve A Buchwalter, P.C. (PDF 43 KB) 3/28/2011
PIABA (PDF 20 KB) 3/28/2011
Neville Golvala (PDF 44 KB) 3/28/2011
SIFMA (PDF 2,032 KB) 3/28/2011
Financial Services Institute (PDF 75 KB) 3/28/2011
Roberts & Ryan Investments Inc. (PDF 23 KB) 3/28/2011
The Bond Dealers of America (PDF 168 KB) 3/28/2011
Wells Fargo Advisors (PDF 249 KB) 3/28/2011
Cornell Securities Law Clinic (PDF 187 KB) 3/28/2011
Cambridge Investment Research (PDF 25 KB) 3/28/2011
William Gladden (PDF 61 KB) 3/28/2011
Jeffrey R. Sonn, Esq. (PDF 66 KB) 3/28/2011
Ledbetter & Associates, P.A (PDF 245 KB) 3/28/2011
Regal Bay Investment Group LLC (PDF 46 KB) 3/28/2011
Cinzia Croce (PDF 52 KB) 3/29/2011
Juanita D. Hanley (PDF 21 KB) 3/29/2011
St. John’s School of Law (PDF 62 KB) 4/6/2011