Comments on FINRA Regulatory Notices

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

Date of Pub Titlesort descending Description
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
Mar 21, 2017 Special Notice – 3/21/17
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Jul 30, 2018 Special Notice – 7/30/18
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018

Pages