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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material

(Release No. 34-57010; File No. SR-FINRA-2007-020)


Jan. 18, 2008 Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute
Jan. 18, 2008 Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Jan. 16, 2008 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC

 

http://www.sec.gov/comments/sr-finra-2007-020/finra2007020.shtml


Modified: 10/16/2014