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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports

(Release No. 34-56585; File No. SR-FINRA-2007-008)


Oct. 30, 2007 Jill Ostergaard and Christopher Mahon, Co-Chairs, Self Regulation and Supervisory Practices Committee, Securities Industry and Financial Markets Association
Oct. 25, 2007 Marian H. Desilets, President, ARM Executive Committee, Charlotte, North Carolina

 

http://www.sec.gov/comments/sr-finra-2007-008/finra2007008.shtml


Modified: 10/16/2014