Regulatory Notice 09-63

FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions

Comment Period Expired: December 28, 2009

As part of the process of developing a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed consolidated FINRA rule governing discretionary accounts and transactions.

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.

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: 
DateCommenterFormat - Size
12/17/2009Bob HillardPDF - 29.31 KB
12/24/2009Scottrade, Inc.PDF - 26.8 KB
12/24/2009Seward and Kissel, LLPPDF - 427.26 KB
12/31/2009Neal NakagiriPDF - 29.32 KB
12/28/2009Financial Services InstitutePDF - 98.45 KB
11/20/2009Sanderlin Securities LLCPDF - 23.61 KB
12/18/2009Cornell UniversityPDF - 1.22 MB
2/1/2010SIFMAPDF - 1.7 MB