All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date | Title Sort ascending | Description |
|---|---|---|
| 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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| 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
|
| 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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| 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. |
| 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. |
| 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
|
| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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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| 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 20, 2018 | Regulatory Notice 18-13 | FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Comment Period Expires: June 19, 2018
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| Mar 23, 2018 | Regulatory Notice 18-10 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: June 22, 2018.
The comment period has been extended to June 22, 2018. |
| Feb 26, 2018 | Regulatory Notice 18-08 | FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Comment Period Expires: April 27, 2018
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| Feb 08, 2018 | Regulatory Notice 18-06 | FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
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| Feb 06, 2018 | Regulatory Notice 18-05 | FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Comment Period Expires: April 9, 2018
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| Jan 08, 2018 | Regulatory Notice 18-02 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
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| Dec 06, 2017 | Regulatory Notice 17-42 | FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018
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