Comments on FINRA Regulatory Notices

Below is a listing of Regulatory Notices (formerly known as Notices to Members) that have requested comments.

2008 | 2007 | 2006 | 2005 | 2004 | 2003

2008
08-68 FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expired: December 18, 2008
Posted on: 11/18/08
08-55 FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Comment Period Expired: November 14, 2008
Posted on: 10/14/08
08-39 FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expired: September 30, 2008
Posted on: 7/28/08
08-26 Proposed Consolidated FINRA Rule Addressing Investor Education and Protection;
Comment Period Expired: June 13, 2008
Posted on: 5/14/08
08-25 Proposed Consolidated FINRA Rules Governing Books and Records Requirements;
Comment Period Expired: June 13, 2008
Posted on: 5/14/08
08-24 Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls;
Comment Period Expired: June 13, 2008
Posted on: 5/14/08
08-23 Proposed Consolidated FINRA Rules Governing Financial Responsibility;
Comment Period Expired: June 13, 2008
Posted on: 5/14/08
08-20 FINRA Requests Comments on Proposed Changes to Forms U4 and U5;
Comment Period Expired: May 27, 2008
Posted on: 4/24/08

2007
07-58 FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices;
Comment Period Expired: January 10, 2008
Posted on: 11/26/07
07-46 FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities;
Comment Period Expired November 12, 2007
Posted on: 9/28/07
07-30 NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;
Comment Period Expired July 13, 2007
Posted on: 6/14/07
07-27 NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings;
Comment Period Expired July 20, 2007
Posted on: 6/5/07
07-12 NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE;
The comment period was extended to April 9, 2007.
Comment Period Expired March 26, 2007
Posted on: 2/22/07

2006
06-32 NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available;
The comment period was extended to August 15, 2006.
Comment Period Expired July 31, 2006
Posted on: 6/28/06
06-31 NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption;
The comment period was extended to September 15, 2006.
Comment Period Expired July 31, 2006
Posted on: 6/28/06
06-22 NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was an Inter-Dealer or a Dealer-Customer Transaction and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller;
Comment Period Expired June 15, 2006
Posted on: 5/10/06
06-06 NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment;
The comment period was extended to March 3, 2006.
Comment Period Expired February 23, 2006
Posted on: 1/23/06

2005
05-63 NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting;
Comment Period Expired November 29, 2005
Posted on: 9/30/05
05-61 NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee;
Comment Period Expired October 31, 2005
Posted on: 9/16/05
05-40 NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities;
Comment Period Expired August 5, 2005
Posted on: 5/9/05
05-27 NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period;
Comment Period Expired May 27, 2005
Posted on: 4/13/05
05-25 NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements;
Comment Period Expired May 20, 2005
Posted on: 4/6/05
05-21 NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities;
Comment Period Expired April 19
Posted on: 3/18/05
05-11 NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws; NASD Also Seeks Member Comment on Related Automation Issues;
Comment Period Expired March 30, 2005
Posted on: 2/4/05

2004
04-83 NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions;
Note: The comment period was extended to February 1, 2005.
Comment Period Expired January 10, 2005
Posted on: 11/11/04
04-80 NASD Seeks Comment on Proposed Changes to the OATS Rules;
Comment Period Expired January 20, 2005
Posted on: 11/9/04
04-75 NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements;
Comment Period Expired November 26, 2004
Posted on: 10/12/04
04-55 NASD Requests Comment on a Proposed Uniform Branch Office Registration Form;
Comment Period Expired September 3, 2004
Posted on: 8/4/04
04-45 NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities;
Comment Period Expires August 9, 2004
Posted on: 6/9/04
04-23 NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure Review Registration Status;
Comment Period Expired April 19, 2004
Posted on: 3/18/04
04-07 NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs);
This version corrects certain administrative and other non-substantive text.
Comment Period Expired March 12, 2004
Posted on: 2/3/04

2003
03-77 Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material);
Comment Period Expired January 23, 2004
Posted on: 12/9/03
03-76 NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program); Access to Information Available Under Interpretive Material 8310-2;
Comment Period Expired January 9, 2004
Posted on: 12/4/03