Regulatory Notice 11-08

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees

Comment Period Expired: March 28, 2011

As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook) FINRA is requesting comment on the proposed consolidated FINRA rules governing markups, markdowns, commissions and fees.


The text of the proposed rules is available as Attachment A on our website at www.finra.org/notices/11-08.


Questions regarding this Notice should be directed to Sharon K. Zackula, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8985.

Related Documents: 

DateTitleFormat - Size
3/30/2015Regulatory Notice 11-08 - Attachment APDF - 56.01 KB
3/30/2015Regulatory Notice 11-08 - THE LAW AND FINANCE OF BROKER-DEALER MARK-UPSPDF - 144.46 KB
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
3/7/2011Moloney Securities Co., Inc.PDF - 15.76 KB
3/15/2011Churchill Financial, LLCPDF - 124.18 KB
3/15/2011NASAAPDF - 44.99 KB
3/22/2011Horwitz and Associates, Inc,PDF - 27.99 KB
3/23/2011Barry D. EstellPDF - 9.73 KB
3/24/2011Law Offices of Scott T. BeallPDF - 843.37 KB
3/26/2011National Planning Holdings, Inc.PDF - 35.75 KB
3/28/2011William GladdenPDF - 60.9 KB
3/28/2011Jeffrey R. Sonn, Esq.PDF - 66.4 KB
3/28/2011Neville GolvalaPDF - 43.51 KB
3/28/2011Law Offices of Steve A Buchwalter, P.C.PDF - 42.64 KB
3/28/2011The Bond Dealers of AmericaPDF - 168.32 KB
3/28/2011SIFMAPDF - 1.94 MB
3/28/2011Roberts & Ryan Investments Inc.PDF - 23.35 KB
3/28/2011Cornell Securities Law ClinicPDF - 186.75 KB
3/28/2011Ledbetter & Associates, P.APDF - 244.49 KB
3/28/2011Wells Fargo AdvisorsPDF - 248.81 KB
3/28/2011PIABAPDF - 19.68 KB
3/28/2011J.W. Korth & Co.PDF - 78.08 KB
3/28/2011Cambridge Investment ResearchPDF - 24.78 KB
3/28/2011Regal Bay Investment Group LLCPDF - 46.37 KB
3/29/2011Juanita D. HanleyPDF - 20.74 KB
3/29/2011Cinzia CrocePDF - 52.28 KB
3/28/2011Financial Services InstitutePDF - 74.99 KB
4/6/2011St. John’s School of LawPDF - 62.17 KB