Regulatory Notice 18-10
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
The comment period has been extended to June 22, 2018.
FINRA is conducting a retrospective review of the rule governing carrying agreements 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: