Regulatory Notice 18-14

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting

Comment Period Expires: June 25, 2018


FINRA is conducting a retrospective review of Rule 3110 (Supervision), governing annual compliance meetings 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:

  • Kosha Dalal, Associate Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6903;
  • Sarah Kwak, Assistant General Counsel, OGC, at (202) 728-8471; or
  • Lori Walsh, Deputy Chief Economist, Office of the Chief Economist, at (202) 728-8323.
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
5/1/2018EFS AdvisorsPDF - 40.92 KB
6/21/2018Nationwide Financial Services, Inc.PDF - 346.32 KB
6/25/2018Financial Services InstitutePDF - 104.57 KB
6/25/2018Eversheds Sutherland (US) LLPPDF - 1.25 MB
6/25/2018FORESIDEPDF - 161.96 KB
6/25/2018SIFMAPDF - 608.31 KB
6/26/2018Quest CEPDF - 284.01 KB
6/28/2018ABCPDF - 77.05 KB