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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 |
|---|---|---|
| Aug 31, 2020 | Request for Comments | |
| Jul 16, 2020 | Regulatory Notice 20-24 | FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Comment Period Expires: September 14, 2020
|
| May 21, 2020 | Views and Information on Activity Related to Security-Based Swaps | |
| Feb 18, 2020 | Regulatory Notice 20-05 | FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Comment Period Expires: June 30, 2020
In response to requests for an extension, the comment period has been extended to June 30, 2020. |
| Jan 30, 2020 | Regulatory Notice 20-04 | FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) Rules
Comment Period Expires: June 30, 2020.
In response to requests for an extension, the comment period has been extended to June 30, 2020. |
| Jan 09, 2020 | Regulatory Notice 20-02 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements Rule
Comment Period Expires: March 9, 2020
|
| Nov 11, 2019 | Regulatory Notice 19-36 | FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary or Holding a Position of Trust for or on Behalf of a Customer
Comment Period Expires: January 10, 2020
|
| Aug 09, 2019 | Regulatory Notice 19-27 | FINRA Requests Comment on Rules and Issues Relating to Senior Investors
Comment Period Expires: October 8, 2019
|
| Jul 26, 2019 | Regulatory Notice 19-25 | FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE
Comment Period Expires: September 24, 2019
|
| Jul 09, 2019 | Regulatory Notice 19-22 | FINRA Requests Comment on a Proposal to Publish ATS Volume Data for Corporate Bonds and Agency Debt Securities on FINRA’s Website
Comment Period Expires: September 7, 2019
|
| May 02, 2019 | Regulatory Notice 19-17 | FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct
Comment Period Expires: July 1, 2019
|
| Apr 12, 2019 | Regulatory Notice 19-12 | FINRA Requests Comment on a Proposed Pilot Program to Study Recommended Changes to Corporate Bond Block Trade Dissemination
Comment Period Expires: June 11, 2019
|
| Feb 25, 2019 | Regulatory Notice 19-06 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 26, 2019
|
| Sep 06, 2018 | Regulatory Notice 18-26 | FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Comment Period Expires: November 5, 2018
|
| Jul 30, 2018 | Special Notice – 7/30/18 | FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
Comment Period Expires: October 12, 2018
|
| Jul 26, 2018 | Regulatory Notice 18-22 | FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
Comment Period Expires: September 24, 2018
|
| Jul 26, 2018 | Regulatory Notice 18-23 | FINRA Requests Comment on a Proposal Regarding the Rules Governing the New and Continuing Membership Application Process
Comment Period Expires: October 5, 2018
|
| Apr 30, 2018 | Regulatory Notice 18-16 | FINRA Requests Comment on FINRA Rule Amendments Relating to High-Risk Brokers and the Firms That Employ Them
Comment Period Expires: June 29, 2018
|
| Apr 24, 2018 | Regulatory Notice 18-14 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Comment Period Expires: June 25, 2018
|
| Apr 20, 2018 | Regulatory Notice 18-13 | FINRA Requests Comment on Proposed Amendments to the Quantitative Suitability Obligation Under FINRA Rule 2111
Comment Period Expires: June 19, 2018
|
| Mar 23, 2018 | Regulatory Notice 18-10 | FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
Comment Period Expires: June 22, 2018.
The comment period has been extended to June 22, 2018. |
| Feb 26, 2018 | Regulatory Notice 18-08 | FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
Comment Period Expires: April 27, 2018
|
| Feb 08, 2018 | Regulatory Notice 18-06 | FINRA Requests Comment on Proposed Amendments to its Membership Application Program to Incentivize Payment of Arbitration Awards
Comment Period Expires: April 9, 2018
|
| Feb 06, 2018 | Regulatory Notice 18-05 | FINRA Requests Comment on the Application of Certain Rules to Government Securities and to Other Debt Securities More Broadly
Comment Period Expires: April 9, 2018
|
| Jan 08, 2018 | Regulatory Notice 18-02 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
Comment Period Expires: March 8, 2018
|