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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customerís Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service

(Release No. 34-56373; File No. SR-FINRA-2007-005)


Oct. 17, 2007 R. Clements, Charlotte, North Carolina
Oct. 4, 2007 Kristie Thompson, Group Leader, Customer Account Transfer, Edward D. Jones & Co., LP
Oct. 4, 2007 Ron Marino, President, Customer Account Transfer Division, Securities Industry and Financial Markets Association
Oct. 2, 2007 Deirdre B. Koerick, CCO, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania

 

 

http://www.sec.gov/comments/sr-finra-2007-005/finra2007005.shtml

Modified: 10/18/2007