Regulatory Notice 08-71
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
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.
|Date||Commenter||Format - Size|
|12/29/2008||Farmers Financial Solutions, LLC||PDF - 10.6 KB|
|12/29/2008||NAIBD||PDF - 54.39 KB|
|12/29/2008||Cutter & Company, Inc.||PDF - 20.61 KB|
|12/29/2008||Sutherland||PDF - 352.42 KB|
|12/30/2008||GBS Financial Corp.||PDF - 17.16 KB|
|12/30/2008||R.F. Lafferty & Co., Inc.||PDF - 16.97 KB|
|12/4/2008||Sandy Pappalardo||PDF - 1.1 MB|
|12/30/2008||Pointe Capital, Inc.||PDF - 22.67 KB|
|12/30/2008||Goodwin Browning & Luna Securities||PDF - 22.97 KB|
|12/30/2008||OmniCap, LLC||PDF - 23.42 KB|
|12/30/2008||Wachovia Securities, LLC||PDF - 27.44 KB|
|1/5/2009||Financial Telesis Inc.||PDF - 87.49 KB|
|1/6/2009||Askar Corp.||PDF - 168.33 KB|
|1/15/2009||Northwestern Mutual Investment Services, LLC||PDF - 883.19 KB|
|1/15/2009||Investment Company Institute||PDF - 51.22 KB|
|1/16/2009||Financial Services Institute||PDF - 71.9 KB|
|1/16/2009||NSCP||PDF - 225.69 KB|
|1/16/2009||SIFMA||PDF - 42.1 KB|
|1/16/2009||State Farm VP Management Corp.||PDF - 251.03 KB|
|1/16/2009||PFS Investments Inc.||PDF - 60.23 KB|
|1/16/2009||Charles Schwab & Co. Inc.||PDF - 670.32 KB|