Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Except Accounts Pursuant to Section 530A of the Internal Revenue Code from the Requirements of FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa J. Bleier, Head – Wealth Management, Retirement and State Government Affairs and Nicole Swift, Vice President, Retirement Policy, SIFMA

Last Reviewed or Updated: July 15, 2026

File Number
SR-FINRA-2026-013
Release Number
34-105829
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