Comments on FINRA Regulatory Notices
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date of Pub |
Title |
Description |
|---|---|---|
| Feb 26, 2014 | Regulatory Notice 14-09 |
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Comment Period Expires: April 28, 2014
|
| Apr 8, 2014 | Regulatory Notice 14-14 |
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014. |
| Apr 8, 2014 | Regulatory Notice 14-15 |
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014. |
| Apr 30, 2014 | Regulatory Notice 14-19 |
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
|
| Jul 2, 2014 | Regulatory Notice 14-29 |
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
|
| Sep 16, 2014 | Regulatory Notice 14-35 |
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
|
| Sep 30, 2014 | Regulatory Notice 14-37 |
FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
|
| Nov 12, 2014 | Regulatory Notice 14-46 |
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015. |
| Nov 12, 2014 | Regulatory Notice 14-47 |
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Comment Period Expires: Friday, January 9, 2015
The comment period has been extended to February 20, 2015. |
| 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. |
| 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 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 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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 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
|
| 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
|
| 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
|
| Jul 16, 2015 | Regulatory Notice 15-26 |
FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 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
|
| 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
|