All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| May 15, 2009 | Regulatory Notice 09-25 | Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Comment Period Expires: June 29, 2009
|
| Apr 21, 2009 | Regulatory Notice 09-22 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Comment Period Expires: June 5, 2009
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| Mar 12, 2009 | Regulatory Notice 09-15 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Comment Period Expired: April 24, 2009
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| Jan 21, 2009 | Regulatory Notice 09-06 | FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Comment Period Expires: February 20, 2009
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| Jan 06, 2009 | Regulatory Notice 09-02 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Comment Period Expires: February 20, 2009
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| Jan 06, 2009 | Regulatory Notice 09-03 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Comment Period Expires: February 20, 2009
|
| Dec 24, 2008 | Regulatory Notice 08-83 | FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Comment Period Expires: February 6, 2009
The comment period was extended to February 27, 2009. |
| Dec 16, 2008 | Regulatory Notice 08-80 | FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expires: January 29, 2009
The comment period was extended to February 27, 2009. |
| Nov 28, 2008 | Regulatory Notice 08-71 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009. |
| Nov 18, 2008 | Regulatory Notice 08-68 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expires: December 18, 2008
|
| Oct 14, 2008 | Regulatory Notice 08-55 | FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules Comment Period Expired: November 14, 2008
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| Jul 28, 2008 | Regulatory Notice 08-39 | FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expires: September 30, 2008
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| May 14, 2008 | Regulatory Notice 08-23 | Proposed Consolidated FINRA Rules Governing Financial Responsibility
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| May 14, 2008 | Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
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| May 14, 2008 | Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
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| May 14, 2008 | Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
|
| Apr 24, 2008 | Regulatory Notice 08-20 | FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expires: May 27, 2008
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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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| 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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| 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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| 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
|
| 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 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. |
| 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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