Comments on FINRA Regulatory Notices

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

Date of Pubsort descending Title Description
Sep 6, 2018 Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
Sep 11, 2018 Regulatory Notice 18-28
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Comment Period Expires: November 12, 2018
Feb 25, 2019 Regulatory Notice 19-06
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
Apr 12, 2019 Regulatory Notice 19-12
FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
May 2, 2019 Regulatory Notice 19-17
FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
Jul 9, 2019 Regulatory Notice 19-22
FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
Jul 26, 2019 Regulatory Notice 19-25
FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
Aug 9, 2019 Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019