Comments on FINRA Regulatory Notices

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

Date of Pub Titlesort descending Description
Dec 4, 2003 Notice to Members 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
Dec 9, 2003 Notice to Members 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
Feb 3, 2004 Notice to Members 04-07
NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text.
Mar 17, 2004 Notice to Members 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
Jun 9, 2004 Notice to Members 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 Expired August 9, 2004
Aug 4, 2004 Notice to Members 04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
Comment Period Expired September 3, 2004
Oct 12, 2004 Notice to Members 04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
Comment Period Expired November 26, 2004
Nov 9, 2004 Notice to Members 04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules
Comment Period Expired January 20, 2005
Feb 4, 2005 Notice to Members 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
Mar 17, 2005 Notice to Members 05-21
NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities
Comment Period Expired April 19
Apr 6, 2005 Notice to Members 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
Apr 13, 2005 Notice to Members 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
May 9, 2005 Notice to Members 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
Sep 16, 2005 Notice to Members 05-61
NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
Sep 30, 2005 Notice to Members 05-63
NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
Jan 23, 2006 Notice to Members 06-06
NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expired February 23, 2006
The comment period was extended to March 3, 2006.
May 10, 2006 Notice to Members 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
Jun 28, 2006 Notice to Members 06-31
NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Comment Period Expired July 31, 2006
The comment period was extended to September 15, 2006.
Jun 28, 2006 Notice to Members 06-32
NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Comment Period Expired July 31, 2006
The comment period was extended to August 15, 2006.
Feb 22, 2007 Notice to Members 07-12
NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE
Comment Period Expired March 26, 2007
The comment period was extended to April 9, 2007.
Jun 5, 2007 Notice to Members 07-27
NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Comment Period Expired July 20, 2007
Jun 14, 2007 Notice to Members 07-30
NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;
Comment Period ExpiredJuly 13, 2007
Sep 28, 2007 Regulatory Notice 07-46
FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Comment Period Expired November 12, 2007
Nov 26, 2007 Regulatory Notice 07-58
FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
Apr 24, 2008 Regulatory Notice 08-20
FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expired: May 27, 2008

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