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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)
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| 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
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