Regulatory Notice 08-71

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements; Comment Period Expired: December 29, 2008

Executive Summary

As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is requesting comment on a proposal relating to the FINRA reporting requirements.

The text of the proposed rule is set forth in Attachment A.

Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.

1 The current FINRA rulebook includes (1) NASD Rules and (2) rules incorporated from NYSE (Incorporated NYSE Rules). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (Dual Members). For more information about the rulebook consolidation process, see Information Notice 03/12/08 (Rulebook Consolidation Process).

 

 

The comment period was extended to January 16, 2009.

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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.


Comments By Date Received
Sandy Pappalardo (PDF 35 KB) 12/4/2008
NAIBD (PDF 55 KB) 12/29/2008
Farmers Financial Solutions, LLC (PDF 16 KB) 12/29/2008
Cutter & Company, Inc. (PDF 55 KB) 12/29/2008
Sutherland (PDF 354 KB) 12/29/2008
GBS Financial Corp. (PDF 18 KB) 12/30/2008
R.F. Lafferty & Co., Inc. (PDF 17 KB) 12/30/2008
Pointe Capital, Inc. (PDF 23 KB) 12/30/2008
Goodwin Browning & Luna Securities (PDF 23 KB) 12/30/2008
OmniCap, LLC (PDF 24 KB) 12/30/2008
Wachovia Securities, LLC (PDF 28 KB) 12/30/2008
Financial Telesis Inc. (PDF 88 KB) 1/5/2009
Askar Corp. (PDF 169 KB) 1/6/2009
Northwestern Mutual Investment Services, LLC (PDF 884 KB) 1/15/2009
Investment Company Institute (PDF 52 KB) 1/15/2009
Financial Services Institute (PDF 72 KB) 1/16/2009
NSCP (PDF 226 KB) 1/16/2009
SIFMA (PDF 43 KB) 1/16/2009
State Farm VP Management Corp. (PDF 252 KB) 1/16/2009
PFS Investments Inc. (PDF 61 KB) 1/16/2009
Charles Schwab & Co. Inc. (PDF 671 KB) 1/16/2009