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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 |
|---|---|---|
| Dec 06, 2017 | Regulatory Notice 17-42 | FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information Comment Period Expires: February 5, 2018
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| Nov 28, 2017 | Regulatory Notice 17-41 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Comment Period Expires: January 29, 2018
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| Nov 13, 2017 | Regulatory Notice 17-38 | FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria Comment Period Expires: January 12, 2018
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| Oct 18, 2017 | Regulatory Notice 17-34 | FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration Effective Date: October 18, 2017
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| Oct 18, 2017 | Regulatory Notice 17-33 | Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive Effective Date: October 18, 2017
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| May 15, 2017 | Regulatory Notice 17-20 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
Comment Period Expires: June 29, 2017
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| Apr 12, 2017 | Regulatory Notice 17-16 | FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. |
| Apr 12, 2017 | Regulatory Notice 17-14 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. |
| Apr 12, 2017 | Regulatory Notice 17-15 | FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
Comment Period Expires: May 30, 2017*
In response to requests for an extension, the comment period has been extended to July 14, 2017. In addition, Attachments A and B related to this Notice were updated on 5/24/17 to make a technical correction to subsection (g) of the rule text. |
| Mar 21, 2017 | Special Notice – 3/21/17 | FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Comment Period Expires: May 5, 2017
The comment period has been extended to June 19, 2017 |
| Feb 10, 2017 | Regulatory Notice 17-06 | FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
Comment Period Expires: March 27, 2017
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| Aug 31, 2016 | Regulatory Notice 16-34 | FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
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| Aug 08, 2016 | Regulatory Notice 16-29 | FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Comment Period Expires: September 23, 2016
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| Mar 04, 2016 | Regulatory Notice 16-09 | FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
Comment Period Expires: April 4, 2016
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| Oct 15, 2015 | Regulatory Notice 15-37 | FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: November 30, 2015
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| Oct 12, 2015 | Regulatory Notice 15-36 | FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
Comment Period Expires: December 11, 2015
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| Jul 16, 2015 | Regulatory Notice 15-26 | FINRA Requests Comment on a New Academic TRACE Data Product
Comment Period Expires: September 14, 2015
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| Jun 23, 2015 | Regulatory Notice 15-24 | FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Comment Period Expires: August 24, 2015
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| Jun 17, 2015 | Regulatory Notice 15-22 | FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
Comment Period Expires: August 17, 2015
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| May 27, 2015 | Regulatory Notice 15-19 | FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
Comment Period Expires: July 13, 2015
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| May 27, 2015 | Regulatory Notice 15-20 | FINRA Requests Comment on a Concept Proposal to Restructure the Representative-Level Qualification Examination Program
Comment Period Expires: July 27, 2015
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| May 18, 2015 | Regulatory Notice 15-16 | FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Comment Period Expires: July 2, 2015
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| May 05, 2015 | Regulatory Notice 15-13 | FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
Comment Period Expires: June 19, 2015
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| Mar 30, 2015 | Regulatory Notice 15-10 | FINRA Requests Comment on the Effectiveness and Efficiency of its Membership Application Rules
Comment Period Expires: May 14, 2015
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| Nov 17, 2014 | Regulatory Notice 14-52 | FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
Comment Period Expires: January 20, 2015
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