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
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.

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
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
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
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)
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)
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
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)
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.

Nov 09, 2004 Notice to Members 04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
Oct 12, 2004 Notice to Members 04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
Aug 04, 2004 Notice to Members 04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
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
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
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.

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)
Dec 04, 2003 Notice to Members 03-76
Access to Information Available Under Interpretive Material 8310-2