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Special Notice – 3/21/17

FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs

The comment period has been extended to June 19, 2017

Comment Period Expires: May 5, 2017

Executive Summary

FINRA recently announced a new initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As one of the first steps of this initiative, this Notice solicits comment from all interested parties on FINRA’s current engagement programs. In connection with separate reviews being conducted under this initiative, FINRA will seek input where appropriate on other aspects of its operations.

FINRA’s status as a self-regulatory organization (SRO) requires that, in pursuing its mission of investor protection and market integrity, FINRA engage effectively with its member firms, as well as investors and other stakeholders. FINRA currently expends significant resources on its engagement programs, and many individuals from its member firms and the public also devote time to these programs. This Notice provides an overview of these engagement programs, with particular focus on FINRA’s committees, rulemaking process and member relations and related programs. FINRA requests comment regarding how it can enhance these programs to promote its mission and its effectiveness as an SRO.

Questions concerning this Notice should be directed to:

  • Jennifer Piorko Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949;
  • Patricia Albrecht, Senior Director, Member Relations and Education, at (240) 386-5211; or
  • Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments:
Date Commenter Format - Size
2017-03-22 J Gallo PDF - 75.37 KB
2017-03-22 Richard Wallace PDF - 17.08 KB
2017-03-23 Treece Investment Advisory Corp PDF - 33.21 KB
2017-03-29 Richard Bryant PDF - 50.62 KB
2017-04-07 Millington Investments, LLC PDF - 73.21 KB
2017-04-10 SIFMA PDF - 317.84 KB
2017-04-21 CNS Securities PDF - 58.1 KB
2017-04-28 Elmcore Securities PDF - 234.7 KB
2017-05-03 Sykes Financial Services LLC PDF - 44.92 KB
2017-05-05 Lara, May & Associates, LLC PDF - 6.53 MB
2017-05-06 Monahan & Roth, LLC PDF - 126.43 KB
2017-05-08 SIFMA PDF - 429.45 KB
2017-05-09 George H. Friedman Consulting, LLC PDF - 763.73 KB
2017-05-10 Dimond Kaplan & Rothstein, PA PDF - 113.58 KB
2017-05-11 Whitehall‐Parker Securities, Inc. PDF - 63.22 KB
2017-05-11 Bob Muh PDF - 63.97 KB
2017-05-15 Murphy & McGonigle PDF - 114.52 KB
2017-05-30 Bill Singer PDF - 313.93 KB
2017-06-01 Peter J. Chepucavage PDF - 197.78 KB
2017-06-02 SIFMA PDF - 490.66 KB
2017-06-08 Broadridge PDF - 207.16 KB
2017-06-13 NSCP PDF - 318.35 KB
2017-06-13 Aidikoff, Uhl & Bakhtiari PDF - 1 MB
2017-06-14 University of Nevada, Las Vegas PDF - 144.02 KB
2017-06-16 Maddox Hargett & Caruso, P.C. PDF - 260.28 KB
2017-06-19 Investment Company Institute PDF - 142.36 KB
2017-06-19 Financial Services Institute PDF - 258.45 KB
2017-06-19 NASAA PDF - 405.99 KB
2017-06-19 Bond Dealers of America PDF - 398.78 KB
2017-06-19 Equity Dealers of America PDF - 458.48 KB
2017-06-19 Better Markets, Inc. PDF - 199.46 KB
2017-06-19 STA PDF - 525.66 KB
2017-06-19 U.S. Chamber of Commerce Center for Capital Markets Competitiveness PDF - 208.66 KB
2017-06-19 Georgia State University PDF - 361.87 KB
2017-06-19 Midwest Regional Committees PDF - 128.63 KB
2017-06-19 Financial Information Forum PDF - 262.7 KB
2017-06-19 Wells Fargo Advisors PDF - 94.5 KB
2017-06-19 The Committee of Annuity Insurers PDF - 1.13 MB
2017-06-19 Financial Services Roundtable PDF - 453.52 KB
2017-06-19 Proskauer Rose LLP PDF - 421.65 KB
2017-06-19 Edward Jones PDF - 1.87 MB
2017-06-19 Commonwealth Financial Network PDF - 165.66 KB
2017-06-19 Fidelity Investments PDF - 156.26 KB
2017-06-19 Securities Arbitration Commentator, Inc. PDF - 81.76 KB
2017-06-19 PIABA PDF - 236.6 KB
2017-07-07 The Charles Schwab Corp. PDF - 3.68 MB