In a Special Notice, FINRA solicited comments on certain member and public engagement programs to enhance its effectiveness as a self-regulatory organization ("SRO").
Specifically, FINRA requested comments on member and public engagement with respect to the following programs:
- Advisory, Ad Hoc and District Committees;
- FINRA's Rulemaking Process;
- Member Relations, Education and Compliance Resources;
- Investor Education;
- Transparency into FINRA's Activities and Operations; and
- Other Available Communications, and FINRA's News and Reporting Information Resources.
Comments must be submitted by May 5, 2017.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.