IPA submitted the IPA comment letter to FINRA on November 11, 2011 regarding regulatory notice FINRA 11-44. The Notice seeks comments to FINRA’s proposal to modify NASD Rule 2340 (the “Proposed Amendment”). Rule 2340 governs reporting of per share estimated values on customer account statements.
IPA also submitted the IPA comment letter to the SEC on November 14, 2011 regarding regulatory notice FINRA 11-04 on Private Placements. The focus of this letter is more directly upon the “filing requirement” component of the Proposal.
Please login to download the recently filed IPA comment letters on the members only section of the IPA website.
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