Regulatory Notice 18-10

FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule

Comment Period Expires: May 23, 2018

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:

  • Kris Dailey, Vice President, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8434; or
  • Adam Arkel, Associate General Counsel, Office of General Counsel, at (202) 728-6961.
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
6/22/2018National Financial Services, LLCPDF - 76.61 KB
6/22/2018SIFMAPDF - 229 KB
6/22/2018RBC Correspondent ServicesPDF - 369.68 KB
6/26/2018DriveWealth, LLCPDF - 303.3 KB