All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort descending | Title | Description |
|---|---|---|
| Dec 04, 2003 | Notice to Members 03-76 | Access to Information Available Under Interpretive Material 8310-2
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| Dec 09, 2003 | Notice to Members 03-77 | NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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| Feb 03, 2004 | Notice to Members 04-07 | NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text. |
| Mar 17, 2004 | Notice to Members 04-23 | NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5)
and (2) Adopting a Rule to Create an Inactive Disclosure
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| Jun 09, 2004 | Notice to Members 04-45 | NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
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| Aug 04, 2004 | Notice to Members 04-55 | NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
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| Oct 12, 2004 | Notice to Members 04-75 | NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
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| Nov 09, 2004 | Notice to Members 04-80 | NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
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| Nov 11, 2004 | Notice to Members 04-83 | NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)
Note: The comment period was extended to February 1, 2005. |
| Feb 04, 2005 | Notice to Members 05-11 | NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws
NASD Also Seeks Member Comment on Related Automation Issues; (Comment Period Expired March 30, 2005)
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| Mar 17, 2005 | Notice to Members 05-21 | NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities
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| Apr 06, 2005 | Notice to Members 05-25 | NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements (Comment Period Expired May 20, 2005)
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| Apr 13, 2005 | Notice to Members 05-27 | NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005)
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| May 09, 2005 | Notice to Members 05-40 | NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
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| Sep 16, 2005 | Notice to Members 05-61 | NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
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| Sep 30, 2005 | Notice to Members 05-63 | NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
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| Jan 23, 2006 | Notice to Members 06-06 | NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expires February 23, 2006; Comment Period extended to March 3, 2006
The comment period was extended to March 3, 2006. |
| May 10, 2006 | Notice to Members 06-22 | NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was Inter-Dealer or Dealer-Customer and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller
Comment Period Expires June 15, 2006
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| Jun 28, 2006 | Notice to Members 06-31 | NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Comment Period Expires September 15, 2006
The comment period was extended to September 15, 2006. |
| Jun 28, 2006 | Notice to Members 06-32 | NASD Requests Comment on Providing Public Access to Historic TRACE Data Not Previously Disseminated or Otherwise Publicly Available
Comment Period Expires August 15, 2006
The comment period was extended to August 15, 2006. |
| Feb 22, 2007 | Notice to Members 07-12 | NASD Requests Comment on Proposed Amendments to Rules 3010(g) and 2711 in Connection with the Rule Harmonization Project with the NYSE
Comment Period Expires April 9, 2007
The comment period was extended to April 9, 2007. |
| Jun 05, 2007 | Notice to Members 07-27 | NASD Requests Comment on Proposed Rule 2721 to Regulate Member Private Securities Offerings
Comment Period Expires July 20, 2007
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| Jun 14, 2007 | Notice to Members 07-30 | NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications
Comment Period Expires July 13, 2007
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| Sep 28, 2007 | Regulatory Notice 07-46 | FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Comment Period Expires November 12, 2007
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| Nov 26, 2007 | Regulatory Notice 07-58 | FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
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