Regulatory Notice 10-54
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Comment Period Expired: December 27, 2010
FINRA requests comment on a concept proposal to require member firms, at or prior to commencing a business relationship with a retail customer, to provide a written statement to the customer describing the types of accounts and services it provides, as well as conflicts associated with such services and any limitations on the duties the firm otherwise owes to retail customers.
Questions concerning this Notice should be directed to:
- Philip Shaikun, Associate Vice President, Office of General Counsel, at (202) 728-8451.
This letter was submitted by 307 individuals. Please contact us to request a list of commenters.
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:
Date | Commenter | Format - Size |
---|---|---|
11/4/2010 | William C. Burnside & Company | PDF - 189.05 KB |
11/10/2010 | Whitehall-Parker Securities, Inc. | PDF - 11.91 KB |
11/4/2010 | Berthel Fisher & Company | PDF - 12.3 KB |
10/27/2010 | St Bernard Financial Services, Inc. | PDF - 20.41 KB |
10/27/2010 | INFINITY Financial Services | PDF - 43.01 KB |
10/28/2010 | Pyramid Funds Corporation | PDF - 17.48 KB |
11/10/2010 | First Georgetown Securities, Inc | PDF - 16.96 KB |
11/11/2010 | Richard Bryant | PDF - 11.25 KB |
11/24/2010 | JANCO Partners, Inc. | PDF - 50.45 KB |
12/3/2010 | SIFMA | PDF - 69.31 KB |
12/6/2010 | Summit Financial Resources, Inc. | PDF - 52.78 KB |
12/10/2010 | Timothy N. Weimer | PDF - 11.58 KB |
12/10/2010 | MWA Financial Services, Inc. | PDF - 45.93 KB |
12/14/2010 | Churchill Financial, LLC | PDF - 95.8 KB |
12/16/2010 | Neville Golvala | PDF - 34.63 KB |
12/17/2010 | Generations Financial Planning & Wealth Management | PDF - 51.52 KB |
12/17/2010 | TIAA-CREF Individual & Institutional Services LLC | PDF - 35.01 KB |
12/18/2010 | Howard University School of Law | PDF - 126.58 KB |
12/18/2010 | Howard University School of Law | PDF - 148.08 KB |
12/18/2010 | Howard University School of Law | PDF - 157.54 KB |
12/20/2010 | GWFS Equities, Inc. | PDF - 93 KB |
12/20/2010 | Bank of America | PDF - 1.37 MB |
12/20/2010 | NAIBD | PDF - 74.79 KB |
12/21/2010 | David Neuman | PDF - 15.81 KB |
12/21/2010 | BlackRock, Inc. | PDF - 423.59 KB |
12/22/2010 | State Farm VP Management Corp. | PDF - 81.46 KB |
12/22/2010 | Janney Montgomery Scott LLC | PDF - 706.24 KB |
12/22/2010 | AALU | PDF - 90.6 KB |
12/22/2010 | NAIFA | PDF - 30.11 KB |
12/23/2010 | Capital Analysts | PDF - 84.56 KB |
12/23/2010 | Investment Company Institute | PDF - 96.11 KB |
12/23/2010 | T.N. Weimer | PDF - 11.5 KB |
12/23/2010 | NSCP | PDF - 47.93 KB |
12/23/2010 | Stock USA Execution Services, Inc. | PDF - 13.99 KB |
12/27/2010 | National Planning Holdings, Inc. | PDF - 36.64 KB |
12/27/2010 | Financial Services Institute, Inc. | PDF - 1.49 MB |
12/27/2010 | Fidelity Investments | PDF - 3.13 MB |
12/27/2010 | The Financial Services Roundtable | PDF - 142.88 KB |
12/27/2010 | Sutherland Asbill & Brennan LLP | PDF - 146.11 KB |
12/27/2010 | Wells Fargo Advisors, LLC | PDF - 119.83 KB |
12/27/2010 | Paul Scheurer | PDF - 19.94 KB |
12/27/2010 | NPB Financial Group, LLC | PDF - 67.11 KB |
12/27/2010 | Bonnie K. Wachtel | PDF - 21.35 KB |
12/27/2010 | PIABA | PDF - 20.06 KB |
12/27/2010 | LPL Financial | PDF - 380.84 KB |
12/27/2010 | Fiduciary360 | PDF - 102.94 KB |
12/27/2010 | The Investor Rights Clinic at Pace Law School | PDF - 198.5 KB |
12/27/2010 | StockCross Financial Services, Inc. | PDF - 35.42 KB |
12/27/2010 | Edward Jones | PDF - 28.79 KB |
12/27/2010 | Dan Worthy | PDF - 20.06 KB |
12/27/2010 | The American Council of Life Insurers | PDF - 309.55 KB |
12/27/2010 | Sample Form - Comments on Regulatory Notice 10-54 | PDF - 14.48 KB |
12/30/2010 | J.A. Glynn & Co. | PDF - 78.1 KB |
12/30/2010 | Selkirk Investments, Inc. | PDF - 31.48 KB |