Comment Letters Submitted by FINRA
Comment Letters Submitted by FINRA | FINRA.org
FINRA Comment Letter to SEC regarding File No. 4-757 - Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data
Requests for Comments | FINRA.org
Instructions for Submitting Comments · Submit comments online. To submit a comment online using FINRA's comment form, access any Regulatory Notice out for ...
Requests for Comments | FINRA.org
Below is a listing of Regulatory Notices for which FINRA has requested and received comments. ... FINRA has extended the comment period to February 21, 2023.
Comments on SR-FINRA-2024-007 - SEC.gov
Comments have been received from individuals and entities using the following Letter Type A: 68 · C: 12 · D: 58 · E: 6 ; Submitted Comments
Regulatory Notice 22-08 | FINRA.org
... comment letters. 3See SEA Section 19 and rules thereunder. After a proposed rule change is filed with the SEC, the proposed rule change ...
Regulatory Notice 22-17 | FINRA.org
Summary FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade ...
Submit Comments on SR-FINRA-2024-007 - SEC.gov
Notice of Filing of a Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE™)).
MFA submits comment letter on FINRA proposed SLATE Rules
MFA submits comment letter on FINRA proposed SLATE Rules · The Proposed SLATE Rules Would Further Increase the Risk to Market Participants ...
SIFMA Comment Letter On Regulatory Notice 21-40 | FINRA.org
Firm compliance professionals can access filings and requests, run reports and submit support tickets. ... Arbitration and mediation case participants and FINRA ...
ICI Comment Letter on FINRA's and MSRB's Filings with the SEC to ...
On February 15, 2024, ICI filed a comment letter in response to notices published by the Securities and Exchange Commission (SEC) soliciting ...
ICI Comment Letter on Proposed Amendments to FINRA Rule 2210
Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the Pu.
Special Notice – 6/30/21 | FINRA.org
FINRA encourages all interested parties to comment on the Special Notice. The comment period ends August 30, 2021. Comments must be submitted ...
Regulatory Notice 23-11 | FINRA.org
FINRA encourages all interested parties to submit comments. Comments must be received by August 11, 2023. Comments must be submitted through one ...
18. (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision) (the “Pilot Proposal”)3 previously submitted to the SEC by the ...
Regulatory Notice 20-42 | FINRA.org
FINRA encourages all interested parties to comment. Comments must be received by February 16, 2021. Comments must be submitted through one of ...
FINRA accepts comments by hard copy or electronically, and all comments become part of the “official record” of the rule proposal. Since December 1, 2003, FINRA ...
OTC Markets Group Submitted a Comment Letter to FINRA Related ...
... submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432 requires that a market maker or broker-dealer have the information ...
Once the review process is complete, FINRA will post a comment letter in the electronic filing system. Filers can call to check on the status of a filing or ...
Comment Letters - Financial Information Forum
FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology. Working ...
This letter is being submitted by the Financial Industry Regulatory Authority, Inc. (“FINRA”) in response to comments received by the ...