Regulatory Notice 14-14

FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules

Comment Period Expires: May 8, 2014


Executive Summary

FINRA is conducting a retrospective review of several communications with the public rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules.


Questions regarding this Notice should be directed to: 

  • Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8451; 
  • Tom Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or 
  • Hammad Qureshi, Economist, Office of the Chief Economist, at (202) 728-8150.


The comment period has been extended to May 23, 2014.

View Full Notice PDF 67 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
Great American Advisors, Inc. (PDF 53 KB) 5/21/2014
Financial Services Roundtable (PDF 48 KB) 5/22/2014
PIABA (PDF 205 KB) 5/23/2014
SIFMA (PDF 184 KB) 5/23/2014
NPB Financial Group, LLC (PDF 41 KB) 5/23/2014
K&L Gates LLP (PDF 218 KB) 5/23/2014
Investment Company Institute (PDF 202 KB) 5/23/2014
Wells Fargo Advisors, LLC (PDF 90 KB) 5/23/2014
Vanguard (PDF 52 KB) 5/23/2014
Smith T. Rowe Price (PDF 502 KB) 5/23/2014
Charles Schwab & Co., Inc. (PDF 50 KB) 5/23/2014
Morgan, Lewis & Bockius LLP (PDF 8,727 KB) 5/23/2014
Financial Services Institute (PDF 156 KB) 5/23/2014
Sutherland Asbill & Brennan LLP (PDF 750 KB) 5/23/2014
Fidelity Investments (PDF 344 KB) 5/23/2014
FOLIOfn Investments, Inc. (PDF 438 KB) 5/27/2014
IPA (PDF 1,009 KB) 5/30/2014