Regulatory Notice 17-41

FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule

Comment Period Expires: January 29, 2018

Summary

FINRA is conducting a retrospective review of the rule governing payments for market making to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.

Questions regarding this Notice should be directed to:

  • Racquel Russell, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8363;
  • Cara Rosen, Counsel, OGC, at (202) 728-8852; or
  • Shawn O’Donoghue, 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
12/5/2017Cboe Global MarketsPDF - 122.33 KB