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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research Report

(Release No. 34-56481 ;File No. SR-FINRA-2007-010)


Jan. 16, 2008 Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA
Oct. 19, 2007 Stephanie R. Nicholas, WilmerHale, Washington, D.C.
Oct. 17, 2007 Jill Ostergaard, Co-Chair, SIFMA Self Regulation and Supervisory Practices Committee and Christopher J. Mahon, Co-Chair, SIFMA Self Regulation and Supervisory Practices Committee

 

http://www.sec.gov/comments/sr-finra-2007-010/finra2007010.shtml


Modified: 10/16/2014