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
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
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

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