All Requests for Comments
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date | Title Sort descending | Description |
|---|---|---|
| Jan 04, 2010 | Regulatory Notice 10-01 | Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
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| Jan 05, 2010 | Regulatory Notice 10-03 | FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Comment Period Expires: March 8, 2010
|
| May 26, 2010 | Regulatory Notice 10-25 | FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Comment Period Expires: July 12, 2010
The comment period was extended to July 30, 2010. |
| Jul 19, 2010 | Regulatory Notice 10-33 | FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Comment Period Expires: August 18, 2010
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| Oct 27, 2010 | Regulatory Notice 10-54 | FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Comment Period Expires: December 27, 2010
|
| Jan 11, 2011 | Regulatory Notice 11-04 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Comment Period Expires: March 14, 2011
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| Feb 10, 2011 | Regulatory Notice 11-08 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expires: March 28, 2011
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| Mar 11, 2011 | Regulatory Notice 11-11 | FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: April 25, 2011
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| Mar 29, 2011 | Regulatory Notice 11-14 | FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm's Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
Comment Period Expires: May 13, 2011
|
| Jun 16, 2011 | Regulatory Notice 11-28 | FINRA Requests Comment on Amendments to Schedule A of the FINRA By-Laws to Implement an Accounting Support Fee to Fund the Governmental Accounting Standards Board
Comment Period Expires: August 1, 2011
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| Sep 20, 2011 | Regulatory Notice 11-43 | FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Comment Period Expires: October 21, 2011
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| Sep 29, 2011 | Regulatory Notice 11-44 | FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts in Customer Account Statements
Comment Period Expires: November 12, 2011
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| Oct 21, 2011 | Regulatory Notice 11-48 | FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
Comment Period Expires: December 9, 2011
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| Feb 08, 2012 | Regulatory Notice 12-07 | FINRA Requests Comment on Proposed Amendments Relating to Reporting of OTC Trades Executed in a Mixed Capacity
Comment Period Expires March 26, 2012
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| Feb 17, 2012 | Regulatory Notice 12-09 | FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: April 2, 2012
|
| Feb 21, 2012 | Regulatory Notice 12-10 | FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Comment Period Expires: April 27, 2012
The comment period was extended to April 27, 2012. |
| Mar 07, 2012 | Regulatory Notice 12-14 | on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Comment Period Expires: April 11, 2012
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| Apr 05, 2012 | Regulatory Notice 12-18 | on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
Comment Period Expires: May 21, 2012
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| May 04, 2012 | Regulatory Notice 12-23 | FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
Comment Period Expires: June 4, 2012
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| Jun 06, 2012 | Regulatory Notice 12-27 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expires: July 23, 2012
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| Jul 05, 2012 | Regulatory Notice 12-34 | FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expires: August 31, 2012
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| Sep 05, 2012 | Regulatory Notice 12-39 | FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: November 19, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.) |
| Oct 11, 2012 | Regulatory Notice 12-42 | FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012. |
| Jan 04, 2013 | Regulatory Notice 13-02 | FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expires: March 5, 2013
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| Jan 24, 2013 | Regulatory Notice 13-05 | FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
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