Regulation
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 |
| Jeffrey R. Sonn, Esq. (PDF 66 KB) | 3/28/2011 |
| 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 |
| Ledbetter & Associates, P.A (PDF 245 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 |
| Regal Bay Investment Group LLC (PDF 46 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 |
| 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 |