Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to adopt FINRA Rules 1010 (Electronic Filing Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Patricia Albrecht, Assistant General Counsel, FINRA
Public Comment Bari Havlik, Chief Compliance Officer, Senior Vice President, Charles Schwab & Co., Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-019
Release Number
34-59784
How to submit comments