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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research
(Release No. 34-56480; File No. SR-FINRA-2007-011)
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| Jan. 30, 2008 | William D. Lyons, Director of Equity Research, and Arkadiy Neyman, Chief Compliance Officer, Westminster Securities Corporation, New York, New York |
| 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 and Christopher J. Mahon, Co-Chairs,Self Regulation and Supervisory Practices Committee, Securities Industry and Financial Markets Association |
| Oct. 16, 2007 | Stephen R. Biggar, Global Director of Equity Research, Standard & Poor's Equity Research Services |
| Oct. 12, 2007 | Morris N. Simkin, Esq., Katten Muchin Rosenman LLP |
http://www.sec.gov/comments/sr-finra-2007-011/finra2007011.shtml
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