Comment Letters Submitted by FINRA

FINRA submitted a comment letter, along with the Municipal Securities Rulemaking. Board (“MSRB”), indicating our intent, if the proposal is ...

FINRA: Too Big To Redact - Broker-Dealer Law Corner

It's not that FINRA doesn't think maintaining the confidentiality of customer information is important; indeed, the comment letter starts by “ ...

SEC Requests Comments on Partial Amendment No. 1 to FINRA ...

On January 19, 2012, FINRA filed Partial Amendment No. 1 to the proposed rule as well as a letter responding to comments on the proposed rule. The SEC's ...

COMMENT LETTER: SR-FINRA-2023-007 – Proposed Rule ...

COMMENT LETTER: SR-FINRA-2023-007 – Proposed Rule Change To Adopt Supplementary Material .18 (Remote Inspections Pilot Program) Under FINRA Rule ...

Virtu Comment Letter on Proposed FINRA Rule Change to Adopt ...

2 FINRA, Proposed Rule Change to Adopt Supplementary Material. 19 (Residential Supervisory Location) under. FINRA Rule 3110 (Supervision), File ...

Proposed FINRA Rule Insufficient, Fails to Protect Investors

On December 28, 2020, Better Markets filed a comment letter with the Securities and Exchange Commission on a proposed Financial Industry Regulatory ...

SIFMA Comment Letter - SR-FINRA-2020-019 as filed with the SEC ...

's (“FINRA”) request for public comment on the temporary proposed new FINRA Rule 3110 (Supervision), Supplemental Material .16 (Temporary.

FINRA Proposes Consolidated Supervision Rules; Comments Due ...

Similar to NASD Rule 3010(d)(2), and as proposed in 2008, proposed Rule 3110(b)(2) would require principal review, evidenced in writing, “of all ...

August 7, 2023 - finra

This letter is submitted on behalf of the Federal Regulation ... In its comment letters on the proposed 2020 Amendments (the “Prior Comment.

Remitop submits comment letter on FINRA proposed SLATE Rules

Remitop submitted a comment letter to the U.S. Securities and Exchange Commission (“Commission” or “SEC”) regarding the Financial Industry ...

The comment letter process - PwC Viewpoint

Remember that comments become public—Comments become part of the public domain once submitted and resolved. Comments and the related responses ...

SIFMA Submits Comment Letter to the SEC on FINRA Rule 4210

The SEC requested comments on FINRA Rule 4210 and June 15, 2021 was the last day for the comment period. Yesterday SIFMA submitted its letter.

OTC Markets Issues Comment Letters On FINRA Rules 6432 And ...

Compliance with the rule is demonstrated by filing a Form 211 with FINRA. Although the rule requires that the Form 211 be filed at least three ...

Virtu Comment Letter on FINRA's Solicitation for Comment on ...

Virtu supports and recognizes the important role that FINRA plays as a self-regulatory organization in protecting investors. However, we believe ...

FINRA-2023-006 Response to Comments dated 09-14-2023

on April 6, 2023,2 and received 13 comment letters ... In such Partial Amendment, FINRA noted that it anticipated submitting by separate letter ...

Letter Of Comment: What It Is, How It Works - Investopedia

A letter of comment—or a comment letter—is a document from the Securities and Exchange Commission (SEC) that is sent to a company in response to filing its ...

OTC Markets Issues Comment Letters On 15c2-11 Requirements

OTC Markets Issues Comment Letters On 15c2-11 Requirements- On January 8, 2018, OTC Markets Group submitted a comment letter to FINRA ...

Comment Letter on FINRA Notice to Members on Reporting of ...

The Investment Company Institute 1 is writing to comment on FINRA's proposed new rule,

FINRA Requests Comment on Proposed Amendments to Rules ...

Any communications with the public including a Customized Projection would be subject to FINRA's supervisory requirements regarding registered ...

FINRA Requests Comment on the Application of Certain Rules to ...

On March 9, 2018, the BDA submitted a letter to FINRA in response to Regulatory Notice (18-05) requesting comment on the Application of ...