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
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.
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
Jan 27, 2014 Regulatory Notice 14-02
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Comment Period Expires: February 26, 2014
The comment period has been extended to March 28, 2014.
Dec 23, 2013 Regulatory Notice 13-42
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Comment Period Expires: February 21, 2014
See 3/4/14 FINRA update to this Notice. The comment period has been extended to March 21, 2014.
Jan 31, 2013 Regulatory Notice 13-07
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expired: April 1, 2013
Jan 24, 2013 Regulatory Notice 13-05
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Comment Period Expired: February 25, 2013
Jan 4, 2013 Regulatory Notice 13-02
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expired: March 5, 2013
Oct 11, 2012 Regulatory Notice 12-42
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expired: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.
Sep 5, 2012 Regulatory Notice 12-39
FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: October 10, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.)
Jul 5, 2012 Regulatory Notice 12-34
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expired: August 31, 2012
Jun 6, 2012 Regulatory Notice 12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expired: July 23, 2012
May 4, 2012 Regulatory Notice 12-23
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expired: June 4, 2012
Apr 5, 2012 Regulatory Notice 12-18
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expired: May 21, 2012
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

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