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.

As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is requesting comment on a proposal relating to the FINRA reporting requirements.

The text of the proposed rule is set forth in Attachment A.

Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.

1 The current FINRA rulebook includes (1) NASD Rules and (2) rules incorporated from NYSE (Incorporated NYSE Rules). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (Dual Members). For more information about the rulebook consolidation process, see Information Notice 03/12/08 (Rulebook Consolidation Process).

The comment period was extended to January 16, 2009.

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
12/29/2008Farmers Financial Solutions, LLCPDF - 10.6 KB
12/29/2008NAIBDPDF - 54.39 KB
12/29/2008Cutter & Company, Inc.PDF - 20.61 KB
12/29/2008SutherlandPDF - 352.42 KB
12/30/2008GBS Financial Corp.PDF - 17.16 KB
12/30/2008R.F. Lafferty & Co., Inc.PDF - 16.97 KB
12/4/2008Sandy PappalardoPDF - 1.1 MB
12/30/2008Pointe Capital, Inc.PDF - 22.67 KB
12/30/2008Goodwin Browning & Luna SecuritiesPDF - 22.97 KB
12/30/2008OmniCap, LLCPDF - 23.42 KB
12/30/2008Wachovia Securities, LLCPDF - 27.44 KB
1/5/2009Financial Telesis Inc.PDF - 87.49 KB
1/6/2009Askar Corp.PDF - 168.33 KB
1/15/2009Northwestern Mutual Investment Services, LLCPDF - 883.19 KB
1/15/2009Investment Company InstitutePDF - 51.22 KB
1/16/2009Financial Services InstitutePDF - 71.9 KB
1/16/2009NSCPPDF - 225.69 KB
1/16/2009SIFMAPDF - 42.1 KB
1/16/2009State Farm VP Management Corp.PDF - 251.03 KB
1/16/2009PFS Investments Inc.PDF - 60.23 KB
1/16/2009Charles Schwab & Co. Inc.PDF - 670.32 KB