Regulatory Notice 09-44

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds

Comment Period Expired: September 14, 2009

As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed consolidated FINRA rule governing fidelity bond requirements.

The text of the proposed rule is set forth in Attachment A. Examples of estimated fidelity bond premiums for different-sized firms under the proposed rule are set forth in Attachment B.

Questions concerning this Notice may be directed to:

  • Susan DeMando Scott, Associate Vice President, Financial Operations Policy, at (202) 728-8411; or
  • Erika L. Lazar, Senior Attorney, Office of General Counsel, at (646) 315-8512.
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
8/4/2009First Asset Financial Inc.PDF - 324.05 KB
8/6/2009Pointe Capital, Inc.PDF - 13.08 KB
8/12/2009Isaak Bond Investments, Inc.PDF - 68.74 KB
8/26/2009Doug SchrinerPDF - 13.03 KB
8/29/2009First Georgetown Securities, Inc.PDF - 12.64 KB
9/11/2009Insurance Services Office, Inc.PDF - 30.04 KB
9/12/2009Daniel KwiecinskiPDF - 21.4 KB
9/14/2009The Surety & Fidelity Association of AmericaPDF - 147.86 KB
9/14/2009The Travelers Companies, Inc.PDF - 37.76 KB
9/14/2009Akin Bay Company LLCPDF - 74.2 KB
9/14/2009Howe Barnes Hoefer & Arnett, Inc.PDF - 506.97 KB
9/14/2009Arthur J. Gallagher & Co.PDF - 142.29 KB
9/14/2009Farmers Financial Solutions, LLCPDF - 15.09 KB