Regulatory Notice 14-15

FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation 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 the gifts and gratuities and non-cash compensation 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:

  • Joseph Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534;
  • Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
  • Hammad Qureshi, Economist, Office of the Chief Economist, at (202) 728-8150.
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
4/15/2014Sturdy Financial ServicesPDF - 17.48 KB
4/9/2014Carlson & LewittesPDF - 19.48 KB
5/15/2014NPB Financial Group, LLCPDF - 63.42 KB
5/21/2014Regal Bay Investment Group LLCPDF - 93.44 KB
5/22/2014Financial Service RoundtablePDF - 47.3 KB
5/23/2014SIFMAPDF - 183.2 KB
5/23/2014Investment Company InstitutePDF - 129.4 KB
5/23/2014PIABAPDF - 163.46 KB
5/23/2014Sutherland Asbill & Brennan LLPPDF - 888.77 KB
5/23/2014Financial Services InstitutePDF - 130.53 KB
5/30/2014IPAPDF - 1020.25 KB