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
Mar 7, 2012 Regulatory Notice 12-14
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expired: April 11, 2012
Feb 21, 2012 Regulatory Notice 12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Comment Period Expired: April 27, 2012
The comment period was extended to April 27, 2012.
Feb 17, 2012 Regulatory Notice 12-09
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 2, 2012
Feb 8, 2012 Regulatory Notice 12-07
FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Comment Period Expired March 26, 2012
Oct 21, 2011 Regulatory Notice 11-48
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expired: December 9, 2011
Sep 29, 2011 Regulatory Notice 11-44
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expired: November 12, 2011
Sep 20, 2011 Regulatory Notice 11-43
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expired: October 21, 2011
Jun 16, 2011 Regulatory Notice 11-28
FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expired: August 1, 2011
Mar 29, 2011 Regulatory Notice 11-14
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expired: May 13, 2011
Mar 11, 2011 Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: April 25, 2011
Feb 10, 2011 Regulatory Notice 11-08
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: March 28, 2011
Jan 11, 2011 Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expired: March 14, 2011
Oct 27, 2010 Regulatory Notice 10-54
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Comment Period Expired: December 27, 2010
Jul 19, 2010 Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Comment Period Expired: August 18, 2010
May 26, 2010 Regulatory Notice 10-25
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Comment Period Expired: July 12, 2010
The comment period was extended to July 30, 2010.
Jan 5, 2010 Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Comment Period Expired: March 8, 2010
Jan 4, 2010 Regulatory Notice 10-01
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Comment Period Expired: March 5, 2010
Dec 3, 2009 Regulatory Notice 09-70
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Comment Period Expired: February 1, 2010
The comment period was extended to March 1, 2010.
Dec 2, 2009 Regulatory Notice 09-69
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expired: February 1, 2010
Nov 12, 2009 Regulatory Notice 09-63
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expired: December 28, 2009
Sep 21, 2009 Regulatory Notice 09-55
FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expired: November 20, 2009
Aug 4, 2009 Regulatory Notice 09-45
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Comment Period Expired: September 18, 2009
Jul 31, 2009 Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Comment Period Expired: September 14, 2009
Jun 17, 2009 Regulatory Notice 09-34
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expired: August 3, 2009
Jun 1, 2009 Regulatory Notice 09-29
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Comment Period Expired: July 16, 2009

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