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
Dec 9, 2003 Notice to Members 03-77
Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
Comment Period Expired January 23, 2004
Dec 4, 2003 Notice to Members 03-76
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program); Access to Information Available Under Interpretive Material 8310-2
Comment Period Expired January 9, 2004

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