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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 |
|---|---|---|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| Nov 14, 2014 | Regulatory Notice 14-51 | Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
Comment Period Expires: January 13, 2015
The comment period has been extended to February 20, 2015. |
| Nov 14, 2014 | Regulatory Notice 14-50 | FINRA Requests Comment on a Proposal to Establish a "Pay-to-Play" Rule
Comment Period Expires: December 15, 2014
|
| Nov 12, 2014 | Regulatory Notice 14-48 | FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
| Nov 12, 2014 | Regulatory Notice 14-46 | FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as "Out of Sequence" and Not Last Sale Eligible
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
| Nov 12, 2014 | Regulatory Notice 14-47 | FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Comment Period Expires: Friday, January 9, 2015*
The comment period has been extended to February 20, 2015. |
| Oct 17, 2014 | Regulatory Notice 14-42 | SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
Effective Date: October 27, 2014
|
| Oct 08, 2014 | Regulatory Notice 14-39 | New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
|
| Sep 30, 2014 | Regulatory Notice 14-37 | FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
Comment Period Expires: December 1, 2014
|
| Sep 16, 2014 | Regulatory Notice 14-35 | FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
Comment Period Expires: October 31, 2014
|
| Jul 02, 2014 | Regulatory Notice 14-29 | FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Comment Period Expires: September 2, 2014
|
| Apr 30, 2014 | Regulatory Notice 14-19 | FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Comment Period Expires: June 16, 2014
|
| Apr 08, 2014 | Regulatory Notice 14-14 | FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
Comment Period Expires: May 8, 2014*
The comment period has been extended to May 23, 2014. |
| Apr 08, 2014 | Regulatory Notice 14-15 | FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
Comment Period Expires: May 8, 2014*
The comment period has been extended to May 23, 2014. |
| Feb 26, 2014 | Regulatory Notice 14-09 | FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Comment Period Expires: April 28, 2014
|
| Jan 27, 2014 | Regulatory Notice 14-02 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Comment Period Expires: February 26, 2014
The comment period has been extended to March 28, 2014. |
| Dec 23, 2013 | Regulatory Notice 13-42 | FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Comment Period Expires: March 21, 2014
See 3/4/14 FINRA update to this Notice. The comment period has been extended to March 21, 2014. |
| Oct 23, 2013 | Regulatory Notice 13-34 | FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
Comment Period Expires: February 3, 2014
|
| Sep 20, 2013 | Regulatory Notice 13-29 | FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA's Membership Application Proceedings
Comment Period Expires: November 4, 2013
|
| Jan 31, 2013 | Regulatory Notice 13-07 | FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
Comment Period Expires: April 1, 2013
|
| Jan 24, 2013 | Regulatory Notice 13-05 | FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
|