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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| 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
|
| 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. |
| 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
|
| Jan 04, 2010 | Regulatory Notice 10-01 | Proposed Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: March 5, 2010
|
| Dec 03, 2009 | Regulatory Notice 09-70 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
Comment Period Expires: February 1, 2010
The comment period was extended to March 1, 2010. |
| Dec 02, 2009 | Regulatory Notice 09-69 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
|
| Nov 12, 2009 | Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
|
| Sep 21, 2009 | Regulatory Notice 09-55 | FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expires: November 20, 2009
|
| Aug 04, 2009 | Regulatory Notice 09-45 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Comment Period Expires: September 18, 2009
|
| Jul 31, 2009 | Regulatory Notice 09-44 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Comment Period Expires: September 14, 2009
|
| Jun 17, 2009 | Regulatory Notice 09-34 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expires: August 3, 2009
|
| Jun 01, 2009 | Regulatory Notice 09-29 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Comment Period Expires: July 16, 2009
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| May 14, 2008 | Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
|