Regulatory Notice 09-44
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
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:
- Susan DeMando Scott, Associate Vice President, Financial Operations Policy, at (202) 728-8411; or
- Erika L. Lazar, Senior Attorney, Office of General Counsel, at (646) 315-8512.
|Date||Commenter||Format - Size|
|8/4/2009||First Asset Financial Inc.||PDF - 324.05 KB|
|8/6/2009||Pointe Capital, Inc.||PDF - 13.08 KB|
|8/12/2009||Isaak Bond Investments, Inc.||PDF - 68.74 KB|
|8/26/2009||Doug Schriner||PDF - 13.03 KB|
|8/29/2009||First Georgetown Securities, Inc.||PDF - 12.64 KB|
|9/11/2009||Insurance Services Office, Inc.||PDF - 30.04 KB|
|9/12/2009||Daniel Kwiecinski||PDF - 21.4 KB|
|9/14/2009||The Surety & Fidelity Association of America||PDF - 147.86 KB|
|9/14/2009||The Travelers Companies, Inc.||PDF - 37.76 KB|
|9/14/2009||Akin Bay Company LLC||PDF - 74.2 KB|
|9/14/2009||Howe Barnes Hoefer & Arnett, Inc.||PDF - 506.97 KB|
|9/14/2009||Arthur J. Gallagher & Co.||PDF - 142.29 KB|
|9/14/2009||Farmers Financial Solutions, LLC||PDF - 15.09 KB|