Special Notice – 3/21/17

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

Comment Period Expires: May 5, 2017

The comment period has been extended to June 19, 2017

Executive Summary

FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps of this initiative, this Notice solicits comment from all interested parties on FINRA’s current engagement programs. In connection with separate reviews being conducted under this initiative, FINRA will seek input where appropriate on other aspects of its operations.

FINRA’s status as a self-regulatory organization (SRO) requires that, in pursuing its mission of investor protection and market integrity, FINRA engage effectively with its member firms, as well as investors and other stakeholders. FINRA currently expends significant resources on its engagement programs, and many individuals from its member firms and the public also devote time to these programs. This Notice provides an overview of these engagement programs, with particular focus on FINRA’s committees, rulemaking process and member relations and related programs. FINRA requests comment regarding how it can enhance these programs to promote its mission and its effectiveness as an SRO.

Questions concerning this Notice should be directed to:

  • Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949;
  • Patricia Albrecht, Senior Director, Member Relations and Education, at (240) 386-5211; or
  • Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104.
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
3/22/2017J GalloPDF - 75.37 KB
3/22/2017Richard WallacePDF - 17.08 KB
3/23/2017Treece Investment Advisory CorpPDF - 33.21 KB
3/29/2017Richard BryantPDF - 50.62 KB
4/7/2017Millington Investments, LLCPDF - 73.21 KB
4/10/2017SIFMAPDF - 317.84 KB
4/21/2017CNS SecuritiesPDF - 58.1 KB
4/28/2017Elmcore SecuritiesPDF - 234.7 KB
5/3/2017Sykes Financial Services LLCPDF - 44.92 KB
5/5/2017Lara, May & Associates, LLCPDF - 6.53 MB
5/6/2017Monahan & Roth, LLCPDF - 126.43 KB
5/8/2017SIFMA PDF - 429.45 KB
5/9/2017George H. Friedman Consulting, LLCPDF - 763.73 KB
5/10/2017Dimond Kaplan & Rothstein, PAPDF - 113.58 KB
5/11/2017Whitehall‐Parker Securities, Inc.PDF - 63.22 KB
5/11/2017Bob MuhPDF - 63.97 KB