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 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
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.
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
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
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
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
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
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
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
Nov 9, 2004 Notice to Members 04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules
Comment Period Expired January 20, 2005
Oct 12, 2004 Notice to Members 04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
Comment Period Expired November 26, 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
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
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
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.
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
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