All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date | Title Sort descending | Description |
|---|---|---|
| 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
|
| Dec 16, 2021 | Regulatory Notice 21-43 | Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 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
|
| 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
|
| 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
|
| 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
|
| Nov 29, 2022 | Regulatory Notice 22-26 | FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades
Comment Period Expires: January 30, 2023
|
| Dec 15, 2022 | Regulatory Notice 22-30 | FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Comment Period Expires: March 17, 2023
|
| May 09, 2023 | Regulatory Notice 23-09 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
|
| May 31, 2023 | Regulatory Notice 23-10 | FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
|
| Jun 12, 2023 | Regulatory Notice 23-11 | FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
|
| Aug 31, 2020 | Request for Comments | |
| Oct 21, 2022 | Special Notice – 10/21/22 | FINRA Requests Comment on Its Machine-Readable Rulebook Initiative
Comment Period Expires: December 20, 2022*
FINRA has extended the comment period to February 21, 2023. |
| Mar 21, 2017 | Special Notice – 3/21/17 | FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017
The comment period has been extended to June 19, 2017 |
| Jun 30, 2021 | Special Notice – 6/30/21 | FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
|
| 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
|
| May 21, 2020 | Views and Information on Activity Related to Security-Based Swaps |