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Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| Jun 12, 2023 | Regulatory Notice 23-11 | FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule
Comment Period Expires: August 11, 2023
|
| May 31, 2023 | Regulatory Notice 23-10 | FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Comment Period Expires: July 31, 2023
|
| May 09, 2023 | Regulatory Notice 23-09 | FINRA Requests Comment on FINRA Rules Impacting Capital Formation
Comment Period Expires: August 7, 2023
|
| Dec 15, 2022 | Regulatory Notice 22-30 | FINRA Re-opens Comment Period for Regulatory Notice 15-13 Seeking Comment on TAF Exemption for Proprietary Trading Firms
Comment Period Expires: March 17, 2023
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| Nov 29, 2022 | Regulatory Notice 22-26 | FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades
Comment Period Expires: January 30, 2023
|
| Oct 21, 2022 | Special Notice – 10/21/22 | FINRA Requests Comment on Its Machine-Readable Rulebook Initiative
Comment Period Expires: December 20, 2022*
FINRA has extended the comment period to February 21, 2023. |
| Aug 02, 2022 | Regulatory Notice 22-17 | FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Comment Period Expires: October 3, 2022
|
| Jun 22, 2022 | Regulatory Notice 22-14 | FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Comment Period Expires: September 20, 2022
|
| Mar 16, 2022 | Regulatory Notice 22-09 | FINRA Requests Comment on a Proposed Rule to Accelerate Arbitration Proceedings for Seriously Ill or Elderly Parties
Comment Period Expires: May 16, 2022
|
| Mar 08, 2022 | Regulatory Notice 22-08 | FINRA Reminds Members of Their Sales Practice Obligations for Complex Products and Options and Solicits Comment on Effective Practices and Rule Enhancements
Comment Period: May 9, 2022
|
| Dec 16, 2021 | Regulatory Notice 21-43 | Proposed Amendments to FINRA Rule 3240 and Retrospective Rule Review Report
Comment Period Expires: February 14, 2022
|
| Nov 11, 2021 | Regulatory Notice 21-40 | FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts
Comment Period Expires: January 18, 2022
|
| Oct 06, 2021 | Regulatory Notice 21-35 | FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities
Comment Period Expires: December 6, 2021
|
| Sep 14, 2021 | Regulatory Notice 21-32 | FINRA Requests Comment on Its Policy Relating to the Assignment of OTC Symbols to Unlisted Equity Securities
Comment Period Expires: November 15, 2021
|
| Jun 30, 2021 | Special Notice – 6/30/21 | FINRA Requests Comment on Effective Methods to Educate Newer Investors
Comment Period Expires: August 30, 2021
|
| Jun 04, 2021 | Regulatory Notice 21-19 | FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting
Comment Period Expires: August 4, 2021
FINRA has extended the comment period to September 30, 2021. |
| Apr 29, 2021 | Regulatory Notice 21-17 | FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry
Comment Period Expires: June 28, 2021
|
| Mar 14, 2021 | Regulatory Notice 21-11 | FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions
Comment Period Expires: May 14, 2021
|
| Dec 23, 2020 | Regulatory Notice 20-43 | FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities
Comment Period Expires: February 22, 2021
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| Dec 16, 2020 | Regulatory Notice 20-42 | FINRA Seeks Comment on Lessons From the COVID-19 Pandemic
Comment Period Expires: February 16, 2021
|
| Oct 15, 2020 | Regulatory Notice 20-36 | FINRA Requests Comment on a Concept Proposal Regarding the Application of FINRA Rules to Security-Based Swaps
Comment Period Expires: November 16, 2020
|
| Oct 05, 2020 | Regulatory Notice 20-34 | Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Review Report
Comment Period Expires: December 4, 2020
|
| Sep 22, 2020 | Regulatory Notice 20-33 | FINRA Requests Comment on a Proposed New Expedited Proceeding Rule for Failures to Comply With the FINRA Qualification Examinations Rules of Conduct and Proposed Amendments to the Registration Requirements Rule and the Eligibility Proceedings Rules
Comment Period Expires: November 23, 2020
|
| 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
|