Requests for Comments
Instructions for Submitting Comments
FINRA encourages member firms and other interested parties to comment on all aspects of proposed rules or areas of regulatory interest for which comments are being sought. Firms and interested parties may submit their comments via one of the following methods:
- Mail written comments to:
Marcia E. Asquith
Senior Vice President and Corporate Secretary
1735 K Street, NW
Washington DC 20006-1500;
- Email written comments
Note: PDF is the preferred format for comments submitted as email attachments. Microsoft Word and WordPerfect formats are also accepted.
Why We Want Your Comments
FINRA is required to file with the SEC proposed rules that govern the conduct of FINRA member firms. Prior to filing a proposed rule with the SEC, FINRA generally solicits comments on the proposal from members, investors, and the general public through a Regulatory Notice, which is posted on FINRA's website.
The Notice describes the rule proposal or area of regulatory interest and indicates when and how comments may be submitted. Comments received during the comment period are fully considered before any further action is taken by FINRA.
Following receipt of a proposed rule filing, the SEC publishes the rule in the Federal Register so that the public may consider it. In general, interested persons have at least 21 days from the date of publication to register their comments. After comments are received, the SEC may approve or disapprove the rule, or FINRA may decide to change it.