Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds; Comment Period Expired: September 14, 2009
As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed consolidated FINRA rule governing fidelity bond requirements.
The text of the proposed rule is set forth in Attachment A. Examples of estimated fidelity bond premiums for different-sized firms under the proposed rule are set forth in Attachment B.
Questions concerning this Notice may be directed to:
|View Full Notice||PDF 134 KB|
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|
|First Asset Financial Inc. (PDF 325 KB)||8/4/2009|
|Pointe Capital, Inc. (PDF 14 KB)||8/6/2009|
|Isaak Bond Investments, Inc. (PDF 69 KB)||8/12/2009|
|Doug Schriner (PDF 14 KB)||8/26/2009|
|First Georgetown Securities, Inc. (PDF 14 KB)||8/29/2009|
|Insurance Services Office, Inc. (PDF 31 KB)||9/11/2009|
|Daniel Kwiecinski (PDF 31 KB)||9/12/2009|
|Farmers Financial Solutions, LLC (PDF 16 KB)||9/14/2009|
|Arthur J. Gallagher & Co. (PDF 143 KB)||9/14/2009|
|Howe Barnes Hoefer & Arnett, Inc. (PDF 507 KB)||9/14/2009|
|Akin Bay Company LLC (PDF 75 KB)||9/14/2009|
|The Travelers Companies, Inc. (PDF 38 KB)||9/14/2009|
|The Surety & Fidelity Association of America (PDF 148 KB)||9/14/2009|