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Comment Letters to the SEC

4/14/21 – FINRA Comment Letter to SEC regarding File No. SR-NYSE-2020-96 - Proposed Rule Change Amending Rules of New York Stock Exchange, LLC, Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners

3/1/21 – FINRA Comment Letter to SEC Act Release No. 90019 regarding File No. S7-12-20 - Proposed Amendments to Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Concept Release on the Regulatory Framework for Electronic Platforms that Trade Corporate and Municipal Debt Securities

1/11/21 – FINRA Comment Letter to SEC regarding File No. SR-NYSE-2020-96 - Proposed Rule Change Amending Rules of New York Stock Exchange, LLC, Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners

11/30/20 – FINRA Comment Letter to SEC regarding File No. S7-10-20 – Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail (“CAT”) to Enhance Data Security

11/24/20 – FINRA Comment Letter to SEC regarding File No. 4-757 – Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data

11/13/20 – FINRA Comment Letter to SEC regarding File No. S7-13-20 – Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders

11/12/20 – FINRA Comment Letter to SEC regarding File No. 4-757 – Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data

5/26/20 – FINRA Comment Letter to SEC regarding File No. S7-03-20 – Market Data Infrastructure

5/1/20 – FINRA Comment Letter to SEC regarding File No. 4-757 – Proposed Order Directing the Exchanges and FINRA to Submit a National Market System Plan Regarding Consolidated Equity Market Data

2/11/20 – FINRA Comment Letter to SEC regarding File No S7-14-19 – Publication or Submission of Quotations Without Specified Information.

10/17/16 – FINRA Response Letter to SEC regarding Regulation of U.S. Treasury Securities

2/26/16 – FINRA Comment Letter to SEC regarding File No. S7-23-15 – Proposed Regulation of NMS Stock Alternative Trading Systems

11/24/15 – FINRA Comment Letter to SEC regarding File No. S7-19-15 – Proposed Amendments to the Commission’s Rules of Practice

7/17/15 – FINRA Comment Letter to the DOL regarding RIN No. 1210-AB32 – Proposed Conflict of Interest Rule and Related Proposals

6/2/15 – FINRA Comment Letter to SEC regarding File No. S7-05-15 – Proposed Rule Regarding Exemption for Certain Exchange Members

12/20/13 – FINRA Comment Letter to SEC regarding File No. 4–668 – Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail

7/8/13 – FINRA Comment Letter to SEC regarding File No S7–01–13 – Regulation Systems Compliance & Integrity (Regulation SCI)

9/28/12 – Joint SRO Comment Letter to the SEC Regarding File No. 4–652 – SEC Technology and Trading Roundtable

2/17/11 – FINRA Comment Letter to the CFTC Regarding RIN No. 3038–AD08 – Real–Time Public Reporting of Swap Transaction Data

1/28/11 – FINRA Comment Letter to the SEC Regarding Regulation SBSR – Reporting and Dissemination of Security–Based Swap Information

11/2/10 – FINRA Comment Letter to the SEC Regarding Commission Study on Enhancing Investment Adviser Examinations Mandated by Section 914 of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010

8/25/10 – FINRA Comment Letter to the SEC Regarding File No. 4–606, Study Obligations of Brokers, Dealers and Investment Advisers

8/9/10 – FINRA and NYSE Euronext Comment Letter to the SEC regarding file No. S7–11–10, Proposed Rule on Consolidated Audit Trail

8/9/10 – FINRA Comment Letter to SEC regarding File No. S7–11–10, Proposed Rule on Consolidated Audit Trail

4/23/10 – FINRA Comment Letter to SEC regarding File No. S7–02–10, Concept Release on Equity Market Structure

3/25/10  FINRA Comment Letter to SEC regarding File No. S7-03-10, Risk Management Controls for Brokers or Dealers with Market Access

9/2/08 – FINRA Comment Letter to SEC regarding File No. S7-16-08, Exemption of Certain Foreign Brokers or Dealers

8/11/08 – FINRA Comment Letter to SEC regarding File No. S7-14-08; Proposed Changes to Definition of Equity Indexed Annuities and Certain other Insurance Contracts

5/12/08 – FINRA Comment Letter to SEC regarding File No. S7-06-08; Release Nos. 34-57427; IC-28178; IA-2712--Notice of Filing of Proposed Rule Change to Amend Regulation S-P. 

11/27/07 – FINRA Comment Letter to SEC regarding Proposed National Market System Plan (SEC File Nos. 4-533 and 4-534) 

8/29/07 – FINRA Comment Letter to SEC regarding File No. SR-NASDAQ-2007-001, Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq’s "Clearly Erroneous" Rule.

4/19/07 – NASD Comment Letter to SEC regarding File No. S7-22-06, Definition of Terms and Exemptions Relating to the "Broker" Exceptions for Banks.

2/16/06 – NASD Comment Letter to SEC regarding File No. SR-NYSE-2005-77, Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2, 3, 4, 5 and 6 Relating to the Exchange's Business Combination with Archipelago Holdings, Inc.

4/4/05 – NASD Comment Letter on Proposed Rule: Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99

3/31/05 – NASD Comment Letter to SEC regarding Investment Company Act Release No. 26778 (March 1, 2005) (the "Supplemental Request for Comment") 

3/15/05 – NASD Comment Letter on Concept Release: Concept Release Concerning Self-Regulation &ndash File No. S7-40-04

3/8/05 – NASD Comment Letter on Proposed Rule: Notice of Proposed Rulemaking Concerning Governance, Administration, Transparency, and Ownership of Self-Regulatory Organizations &ndash File No. S7-39-04

  • SEC Rule Proposal:
    Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self- Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self- Regulatory Organization &ndash File No. S7-39-04

2/11/05 – NASD Comment Letter on Proposed Rule: Certain Broker-Dealers Deemed Not to Be Investment Advisers, Securities Exchange Act Release No. 50980; File No. S7-25-99 ("Proposing Release")

5/4/04 – NASD Comment Letter to SEC regarding disclosure for transactions in certain mutual funds and other securities.

6/20/03 – NASD Comment Letter - SEC Release No. 34-47849 (File No. S7-11-03)