Requests for Comments

FINRA provides various methods to submit comments in response to its requests for comments via the Regulatory Notice (formerly "Notices to Members") process. This page outlines:

 


 

Regulatory Notices Out for Comments

 

Comments will be posted online for all Regulatory Notices that seek comment on a proposal. Posting comments online will make it easier for the public to access and review submissions, and will improve the efficiency with which FINRA maintains, reviews and makes available the comments it receives. Generally, comments will be posted on the FINRA website as they are received.

 

Note: FINRA will post comments as submitted by the author(s). Therefore, parties should submit in their comments only information that they wish to make available publicly. The following notice will appear on FINRA's website where electronic comments are posted: 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.

 

14-37  FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
Posted on: 9/30/2014
14-35 FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
Posted on: 9/16/2014

 


Instructions for Submitting Comments

 

FINRA encourages member firms and other interested parties to comment on all aspects of proposed rules or areas of regulatory interest for which comments are being sought. Firms and interested parties may submit their comments via one of the following methods:

 

  1. Mail written comments to:
    Marcia E. Asquith
    Senior Vice President and Corporate Secretary
    1735 K Street, NW
    Washington DC 20006-1500;

     
  2. Email written comments

 

Note: PDF is the preferred format for comments submitted as email attachments.  Microsoft Word and WordPerfect formats are also accepted.

 


 

Why We Want Your Comments

 

FINRA is required to file with the SEC proposed rules that govern the conduct of FINRA member firms. Prior to filing a proposed rule with the SEC, FINRA generally solicits comments on the proposal from members, investors, and the general public through a Regulatory Notice, which is posted on FINRA's website.

 

The Notice describes the rule proposal or area of regulatory interest and indicates when and how comments may be submitted. Comments received during the comment period are fully considered before any further action is taken by FINRA.

 

Following receipt of a proposed rule filing, the SEC publishes the rule in the Federal Register so that the public may consider it. In general, interested persons have at least 21 days from the date of publication to register their comments. After comments are received, the SEC may approve or disapprove the rule, or FINRA may decide to change it.