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September 9, 2026
Jennifer Piorko Mitchell
Office of the Corporate Secretary
FINRA
1700 K Street, NW
Washington, DC 20006
Re: Regulatory Notice 26-14 – Proposed Changes to Modernize Rule 2210 (Communications with the Public)
Dear Ms. Mitchell:
Jennifer Piorko Mitchell
Office of the Corporate Secretary
FINRA
1700 K Street, NW
Washington, DC 20006
Re: Regulatory Notice 26-15, Modernizing FINRA's Best Execution Guidance
Dear Ms. Mitchell,
I build and validate quantitative models. I am responding to one question in section 1 of the Notice, on best execution after the rescission of Rules 611 and 610(e): whether there is additional data that would be informative to firms in making these determinations. My answer is yes, and it is one field.
Tiffany Magri – [REDACTED], Principal Regulatory Compliance Advisor
Robert A. Cruz, VP, Information Governance
Smarsh, Inc.
FINRA Regulatory Notice 26-14 – Comments Regarding Communications with the Public
To the Office of the Corporate Secretary,
We appreciate the opportunity to comment on FINRA’s proposed amendments to Rule 2210. Two points frame our comments: first, the rule should remain technology-agnostic; second, it needs additional clarity on communications with the public that use artificial intelligence (AI).
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