Comments on FINRA Regulatory Notices

Below is a listing of Regulatory Notices for which FINRA has requested and received comments.

Date of Pubsort ascending Title Description
May 15, 2017 Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
Apr 12, 2017 Regulatory Notice 17-14
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Apr 12, 2017 Regulatory Notice 17-15
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text.

Apr 12, 2017 Regulatory Notice 17-16
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017

In response to requests for an extension, the comment period has been extended to July 14, 2017.

Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Feb 10, 2017 Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
Aug 31, 2016 Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
Aug 8, 2016 Regulatory Notice 16-29
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
Mar 4, 2016 Regulatory Notice 16-09
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
Oct 15, 2015 Regulatory Notice 15-37
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
Oct 12, 2015 Regulatory Notice 15-36
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
Jul 16, 2015 Regulatory Notice 15-26
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
Jun 23, 2015 Regulatory Notice 15-24
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
Jun 17, 2015 Regulatory Notice 15-22
FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Comment Period Expires: August 17, 2015
May 27, 2015 Regulatory Notice 15-19
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Comment Period Expires: July 13, 2015
May 27, 2015 Regulatory Notice 15-20
FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Comment Period Expires: July 27, 2015
May 18, 2015 Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
May 5, 2015 Regulatory Notice 15-13
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
Mar 30, 2015 Regulatory Notice 15-10
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
Feb 9, 2015 Regulatory Notice 15-04
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
Comment Period Expires: April 10, 2015
Feb 6, 2015 Regulatory Notice 15-03
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
Comment Period Expires: April 7, 2015
Nov 17, 2014 Regulatory Notice 14-52
FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
Comment Period Expires: January 20, 2015
Nov 14, 2014 Regulatory Notice 14-51
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Comment Period Expires: January 13, 2015
The comment period has been extended to February 20, 2015.
Nov 14, 2014 Regulatory Notice 14-50
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Comment Period Expires: December 15, 2014
Nov 12, 2014 Regulatory Notice 14-48
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015.

Pages