All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort descending | Title | Description |
|---|---|---|
| Apr 24, 2018 | Regulatory Notice 18-14 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Comment Period Expires: June 25, 2018
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| Apr 30, 2018 | Regulatory Notice 18-16 | FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
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| Jul 26, 2018 | Regulatory Notice 18-23 | FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
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| Jul 26, 2018 | Regulatory Notice 18-22 | FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
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| Jul 30, 2018 | Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
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| Sep 06, 2018 | Regulatory Notice 18-26 | FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
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| Feb 25, 2019 | Regulatory Notice 19-06 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
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| Apr 12, 2019 | Regulatory Notice 19-12 | FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
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| May 02, 2019 | Regulatory Notice 19-17 | FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
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| Jul 09, 2019 | Regulatory Notice 19-22 | FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
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| Jul 26, 2019 | Regulatory Notice 19-25 | FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
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| Aug 09, 2019 | Regulatory Notice 19-27 | FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
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| 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
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| 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
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| 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. |
| 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. |
| May 21, 2020 | Views and Information on Activity Related to Security-Based Swaps | |
| 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
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| Aug 31, 2020 | Request for Comments | |
| 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
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| Oct 05, 2020 | Regulatory Notice 20-34 | Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
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| 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
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| Dec 16, 2020 | Regulatory Notice 20-42 | FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
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| 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
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| 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
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