Comments on FINRA Regulatory Notices
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
|Date of Pub||Title||Description|
|Mar 17, 2004||Notice to Members 04-23||
NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure Review Registration Status
Comment Period Expired April 19, 2004
|Feb 3, 2004||Notice to Members 04-07||
NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text.
|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