FINRA – Retrospective Rule Review Surveys

In April, FINRA initiated a retrospective rule review by issuing two Regulatory Notices (14-14 and 14-15) requesting comment on the effectiveness and efficiency of FINRA’s communications with the public rules, and the gifts, gratuities and non-cash compensation rules. In addition to the feedback we received during the comment process and through subsequent interviews with subject matter experts, FINRA is seeking information from all firms about their experience with and views of the rule sets. FINRA is therefore asking firms to complete two voluntary surveys—one for each rule set. FINRA distributed links to the surveys to all executive representatives on July 15. We ask that you complete both surveys by August 8.