Regulatory Notice 14-15
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014
FINRA is conducting a retrospective review of the gifts and gratuities and non-cash compensation 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:
The comment period has been extended to May 23, 2014.
|View Full Notice||PDF 69 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|
|Carlson & Lewittes (PDF 20 KB)||4/9/2014|
|Sturdy Financial Services (PDF 18 KB)||4/15/2014|
|NPB Financial Group, LLC (PDF 64 KB)||5/15/2014|
|Regal Bay Investment Group LLC (PDF 94 KB)||5/21/2014|
|Financial Service Roundtable (PDF 48 KB)||5/22/2014|
|SIFMA (PDF 48 KB)||5/23/2014|
|PIABA (PDF 164 KB)||5/23/2014|
|Investment Company Institute (PDF 48 KB)||5/23/2014|
|Financial Services Institute (PDF 131 KB)||5/23/2014|
|Sutherland Asbill & Brennan LLP (PDF 164 KB)||5/23/2014|
|IPA (PDF 1,021 KB)||5/30/2014|