Regulatory Notice 09-70

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements

Comment Period Expired: February 1, 2010
The comment period was extended to March 1, 2010.

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 www.finra.org/notices/09-70.

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.

Related Documents: 

DateTitleFormat - Size
4/27/2015Regulatory Notice 09-70 - Attachment BPDF - 115.18 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: 
DateCommenterFormat - Size
1/6/2010Dresdner Kleinwort Securities LLCPDF - 14.14 KB
2/1/2010GWFS Equities, Inc.PDF - 68.12 KB
2/4/2010American Equity Capital, Inc.PDF - 8.51 KB
2/4/2010American Equity Capital, Inc.PDF - 13.48 KB
2/5/2010IMSPDF - 41.96 KB
2/26/2010Association of Registration Management, Inc.PDF - 104.53 KB
2/26/2010Edward JonesPDF - 26.53 KB
2/24/2010T. Rowe PricePDF - 617.09 KB
2/26/2010USAAPDF - 1.09 MB
2/26/2010Nationwide Financial Services, Inc.PDF - 31.19 KB
3/1/2010NSCPPDF - 109.16 KB
3/1/2010Cornell Law SchoolPDF - 1.09 MB
3/1/2010NASAAPDF - 179.56 KB
3/1/2010SIFMAPDF - 68.89 KB
3/1/2010ABA Securities AssociationPDF - 257 KB
3/2/2010IMSPDF - 41.84 KB
3/1/2010Sutherland Asbill & Brennan LLPPDF - 413.63 KB
2/25/2010Investment Company InstitutePDF - 118.04 KB
3/1/2010ACIPDF - 1018.39 KB
2/26/2010Financial Services InstitutePDF - 305.15 KB
3/1/2010Pershing LLCPDF - 214.79 KB
2/27/2010Marcos KonigPDF - 35.18 KB