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Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| 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 14-46 | 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. |
| 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. |
| 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
|
| Jan 04, 2013 | Regulatory Notice 13-02 | FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Comment Period Expires: March 5, 2013
|
| Oct 11, 2012 | Regulatory Notice 12-42 | FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Comment Period Expires: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012. |
| Sep 05, 2012 | Regulatory Notice 12-39 | FINRA Requests Comment on TRACE Dissemination Issues
Comment Period Expires: November 19, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to November 19, 2012. (Previously, the deadline was extended to November 9, 2012.) |
| Jul 05, 2012 | Regulatory Notice 12-34 | FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
Comment Period Expires: August 31, 2012
|
| Jun 06, 2012 | Regulatory Notice 12-27 | FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Comment Period Expires: July 23, 2012
|