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Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| Dec 02, 2009 | Regulatory Notice 09-69 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Comment Period Expires: February 1, 2010
|
| Nov 12, 2009 | Regulatory Notice 09-63 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Discretionary Accounts and Transactions
Comment Period Expires: December 28, 2009
|
| Sep 21, 2009 | Regulatory Notice 09-55 | FINRA Requests Comments on Proposed New Rules Governing Communications with the Public
Comment Period Expires: November 20, 2009
|
| Aug 04, 2009 | Regulatory Notice 09-45 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
Comment Period Expires: September 18, 2009
|
| Jul 31, 2009 | Regulatory Notice 09-44 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Comment Period Expires: September 14, 2009
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| Jun 17, 2009 | Regulatory Notice 09-34 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Comment Period Expires: August 3, 2009
|
| Jun 01, 2009 | Regulatory Notice 09-29 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Comment Period Expires: July 16, 2009
|
| May 15, 2009 | Regulatory Notice 09-25 | Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Comment Period Expires: June 29, 2009
|
| Apr 21, 2009 | Regulatory Notice 09-22 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
Comment Period Expires: June 5, 2009
|
| Mar 12, 2009 | Regulatory Notice 09-15 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
Comment Period Expired: April 24, 2009
|
| Jan 21, 2009 | Regulatory Notice 09-06 | FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Comment Period Expires: February 20, 2009
|
| Jan 06, 2009 | Regulatory Notice 09-03 | FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Comment Period Expires: February 20, 2009
|
| Jan 06, 2009 | Regulatory Notice 09-02 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Comment Period Expires: February 20, 2009
|
| Dec 24, 2008 | Regulatory Notice 08-83 | FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Comment Period Expires: February 6, 2009
The comment period was extended to February 27, 2009. |
| Dec 16, 2008 | Regulatory Notice 08-80 | FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Comment Period Expires: January 29, 2009
The comment period was extended to February 27, 2009. |
| Nov 28, 2008 | Regulatory Notice 08-71 | FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Reporting Requirements
Comment Period Expired: December 29, 2008
The comment period was extended to January 16, 2009. |
| Nov 18, 2008 | Regulatory Notice 08-68 | FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
Comment Period Expires: December 18, 2008
|
| Oct 14, 2008 | Regulatory Notice 08-55 | FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules Comment Period Expired: November 14, 2008
|
| Jul 28, 2008 | Regulatory Notice 08-39 | FINRA Requests Comments on Proposed New Rules Governing Communications About Variable Insurance Products
Comment Period Expires: September 30, 2008
|
| May 14, 2008 | Regulatory Notice 08-25 | Proposed Consolidated FINRA Rules Governing Books and Records Requirements
Comment Period Expires: June 13, 2008
|
| May 14, 2008 | Regulatory Notice 08-23 | Proposed Consolidated FINRA Rules Governing Financial Responsibility
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
|
| May 14, 2008 | Regulatory Notice 08-26 | Proposed Consolidated FINRA Rule Addressing Investor Education and Protection
Comment Period Expires: June 13, 2008
|
| May 14, 2008 | Regulatory Notice 08-24 | Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls
Comment Period Expires: June 13, 2008 Comment Period Expired: June 13, 2008
|
| Apr 24, 2008 | Regulatory Notice 08-20 | FINRA Requests Comments on Proposed Changes to Forms U4 and U5
Comment Period Expires: May 27, 2008
|
| Nov 26, 2007 | Regulatory Notice 07-58 | FINRA Solicits Comments on Proposed Guidance Regarding International Prime Brokerage Practices
Comment Period Expired: January 10, 2008
|