Regulatory Notice 14-14

FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules

Comment Period Expires: May 8, 2014
The comment period has been extended to May 23, 2014.

Executive Summary

FINRA is conducting a retrospective review of several communications with the public rules to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules.

Questions regarding this Notice should be directed to: 

  • Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8451; 
  • Tom Pappas, Vice President, Advertising Regulation, at (240) 386-4553; or 
  • Hammad Qureshi, Economist, Office of the Chief Economist, at (202) 728-8150.

The comment period has been extended to May 23, 2014.

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
5/21/2014Great American Advisors, Inc.PDF - 52.47 KB
5/22/2014Financial Services RoundtablePDF - 47.3 KB
5/23/2014SIFMAPDF - 183.2 KB
5/23/2014PIABAPDF - 204.65 KB
5/23/2014K&L Gates LLPPDF - 217.47 KB
5/23/2014NPB Financial Group, LLCPDF - 40.79 KB
5/23/2014Smith T. Rowe PricePDF - 501.22 KB
5/23/2014VanguardPDF - 51.31 KB
5/23/2014Wells Fargo Advisors, LLCPDF - 89.63 KB
5/23/2014Investment Company InstitutePDF - 201.2 KB
5/23/2014Charles Schwab & Co., Inc.PDF - 49.08 KB
5/23/2014Sutherland Asbill & Brennan LLPPDF - 749.11 KB
5/23/2014Financial Services InstitutePDF - 155.58 KB
5/23/2014Morgan, Lewis & Bockius LLPPDF - 8.52 MB
5/23/2014Fidelity InvestmentsPDF - 343.42 KB
5/27/2014FOLIOfn Investments, Inc.PDF - 437.25 KB
5/30/2014IPAPDF - 1008.67 KB