Regulatory Notice 15-10

FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules

Comment Period Expires: May 14, 2015

Executive Summary

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.
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
5/13/2015Baker Tilly CapitalPDF - 33.72 KB
5/14/2015WMBAAPDF - 94.05 KB
5/14/2015Integrated Management SolutionsPDF - 129.36 KB
5/15/2015Financial Services InstitutePDF - 147.96 KB