Insights

Jul
14

Comment Letter regarding “Supporting Modern Member Workplaces” as discussed in Regulatory Notice 25-07

Please follow the link below to download our comment letter.


Comment regarding “Supporting Modern Member Workplaces” as discussed in Regulatory Notice 25-07

Jun
11

Comment Letter on FINRA’s Rule Modernization Initiative (Regulatory Notice 25-04)

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Comment Letter on FINRA’s Rule Modernization Initiative (Regulatory Notice 25-04)


May
22

Comment letter on the proposed changes to SEC Rule 17a‐5

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Comment letter on the proposed changes to SEC Rule 17a-5

Aug
19

Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections

Rule 3110, branch office inspections, FINRA

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Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections


Jul
14

Comment Letter Regarding Proposed Rule Change To Amend Rules 1210 (Registration Requirements) And 1240 (Continuing Education Requirements)

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Comment Letter On Release No. 34-92183

Feb
16

Comment Letter - Lessons from the Covid-19 Pandemic - Regulatory Notice 20-42

Covid-19 Pandemic, Regulatory Notice 20-42

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Comment Letter - Lessons from the Covid-19 Pandemic - Regulatory Notice 20-42

Jul
02

Comment Letter Regarding Regulatory Notice 20-04 Capital Acquisition Brokers

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Regulatory Notice 20-04 Capital Acquisition Brokers

Jul
01

Comment Letter Regarding Regulatory Notice 20-05 Continuing Education Program Transformation

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Regulatory Notice 20-05 Continuing Education Program Transformation

Jul
16

Comment Letter Regarding Regulatory Notice 17-14: Capital Formation

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Regulatory Notice 17-14 Capital Formation

Jul
04

Comment Letter Regarding Regulatory Notice 17-20: Retrospective Rule Review on the Effectiveness and Efficiency of FINRA’s Rules on Outside Business Activities and Private Securities Transactions

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Regulatory Notice 17-20