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 15, 2009 Regulatory Notice 09-25
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Comment Period Expired: June 29, 2009
Apr 21, 2009 Regulatory Notice 09-22
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Comment Period Expired: June 5, 2009
Mar 12, 2009 Regulatory Notice 09-15
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Comment Period Expired: April 24, 2009
Jan 21, 2009 Regulatory Notice 09-06
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Comment Period Expired: February 20, 2009
Jan 6, 2009 Regulatory Notice 09-02
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Comment Period Expired: February 20, 2009
Jan 6, 2009 Regulatory Notice 09-03
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Comment Period Expired: February 20, 2009
Dec 24, 2008 Regulatory Notice 08-83
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Comment Period Expired: February 6, 2009
The comment period was extended to February 27, 2009.
Dec 16, 2008 Regulatory Notice 08-80
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expired: January 29, 2009
The comment period was extended to February 27, 2009.
Nov 28, 2008 Regulatory Notice 08-71
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009.
Nov 18, 2008 Regulatory Notice 08-68
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expired: December 18, 2008
Oct 14, 2008 Regulatory Notice 08-55
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules
Comment Period Expired: November 14, 2008
Jul 28, 2008 Regulatory Notice 08-39
FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expired: September 30, 2008
May 14, 2008 Regulatory Notice 08-25
Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expired: June 13, 2008
May 14, 2008 Regulatory Notice 08-26
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expired: June 13, 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
Nov 26, 2007 Regulatory Notice 07-58
FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
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
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
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
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 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.
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

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