Regulatory Notice 09-70

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements; Comment Period Expired: February 1, 2010

Executive Summary

As part of the process of developing a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposal to streamline and amend the FINRA registration and qualification rules.


The text of the proposed rules is available as Attachment B on our Web site at


Questions regarding this Notice should be directed to:


  • Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902; or
  • Joe McDonald, Director, Testing and Continuing Education Department, at (240) 386-5065.


The comment period was extended to March 1, 2010.

View Full Notice PDF 281 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
Dresdner Kleinwort Securities LLC (PDF 15 KB) 1/6/2010
GWFS Equities, Inc. (PDF 69 KB) 2/1/2010
American Equity Capital, Inc. (PDF 14 KB) 2/4/2010
American Equity Capital, Inc. (PDF 9 KB) 2/4/2010
IMS (PDF 42 KB) 2/5/2010
T. Rowe Price (PDF 618 KB) 2/24/2010
Investment Company Institute (PDF 119 KB) 2/25/2010
Financial Services Institute (PDF 306 KB) 2/26/2010
Nationwide Financial Services, Inc. (PDF 32 KB) 2/26/2010
USAA (PDF 1,115 KB) 2/26/2010
Edward Jones (PDF 27 KB) 2/26/2010
Association of Registration Management, Inc. (PDF 105 KB) 2/26/2010
Marcos Konig (PDF 36 KB) 2/27/2010
Pershing LLC (PDF 215 KB) 3/1/2010
ACI (PDF 1,109 KB) 3/1/2010
Sutherland Asbill & Brennan LLP (PDF 414 KB) 3/1/2010
ABA Securities Association (PDF 257 KB) 3/1/2010
SIFMA (PDF 69 KB) 3/1/2010
NASAA (PDF 180 KB) 3/1/2010
Cornell Law School (PDF 1,114 KB) 3/1/2010
NSCP (PDF 110 KB) 3/1/2010
IMS (PDF 42 KB) 3/2/2010