Regulatory Notice 09-63
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
As part of the process of developing a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed consolidated FINRA rule governing discretionary accounts and transactions.
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.
|Date||Commenter||Format - Size|
|12/17/2009||Bob Hillard||PDF - 29.31 KB|
|12/24/2009||Scottrade, Inc.||PDF - 26.8 KB|
|12/24/2009||Seward and Kissel, LLP||PDF - 427.26 KB|
|12/31/2009||Neal Nakagiri||PDF - 29.32 KB|
|12/28/2009||Financial Services Institute||PDF - 98.45 KB|
|11/20/2009||Sanderlin Securities LLC||PDF - 23.61 KB|
|12/18/2009||Cornell University||PDF - 1.22 MB|
|2/1/2010||SIFMA||PDF - 1.7 MB|