Skip to main content

All Requests for Comments

Below is a listing of Regulatory Notices for which FINRA has requested and received comments.

Date Sort ascending Title Description
Aug 02, 2022 Regulatory Notice 22-17
FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Comment Period Expires: October 3, 2022
Jun 22, 2022 Regulatory Notice 22-14
FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Comment Period Expires: September 20, 2022
Mar 16, 2022 Regulatory Notice 22-09
FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
Mar 08, 2022 Regulatory Notice 22-08
FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
Comment Period: May 9, 2022
Dec 16, 2021 Regulatory Notice 21-43
Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 2022
Nov 11, 2021 Regulatory Notice 21-40
FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
Oct 06, 2021 Regulatory Notice 21-35
FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
Sep 14, 2021 Regulatory Notice 21-32
FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
Jun 30, 2021 Special Notice – 6/30/21
FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
Jun 04, 2021 Regulatory Notice 21-19
FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021

FINRA has extended the comment period to September 30, 2021.

Apr 29, 2021 Regulatory Notice 21-17
FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
Mar 14, 2021 Regulatory Notice 21-11
FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
Dec 23, 2020 Regulatory Notice 20-43
FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Comment Period Expires: February 22, 2021
Dec 16, 2020 Regulatory Notice 20-42
FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
Oct 15, 2020 Regulatory Notice 20-36
FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Comment Period Expires: November 16, 2020
Oct 05, 2020 Regulatory Notice 20-34
Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
Sep 22, 2020 Regulatory Notice 20-33
FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Comment Period Expires: November 23, 2020
Aug 31, 2020 Request for Comments
Jul 16, 2020 Regulatory Notice 20-24
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Comment Period Expires: September 14, 2020
May 21, 2020 Views and Information on Activity Related to Security-Based Swaps
Feb 18, 2020 Regulatory Notice 20-05
FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Comment Period Expires: June 30, 2020

In response to requests for an extension, the comment period has been extended to June 30, 2020.

Jan 30, 2020 Regulatory Notice 20-04
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.

In response to requests for an extension, the comment period has been extended to June 30, 2020. 

Jan 09, 2020 Regulatory Notice 20-02
FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
Nov 11, 2019 Regulatory Notice 19-36
FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
Aug 09, 2019 Regulatory Notice 19-27
FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019