Regulatory Notice 15-10
FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
FINRA is conducting a retrospective review of the membership application rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules.
Questions regarding this Notice should be directed to:
- Philip Shaikun, Vice President and Associate General Counsel, Regulatory Policy, at (202) 728-8451;
- Kosha Dalal, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-6903; or
- Tian Liang, Economist, Office of the Chief Economist, at (202) 728-8273.