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Comments on FINRA Rulemaking

Notice of Proposed Rule Change to Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook

(Release No. 34-59075; File No. SR-FINRA-2008-055)

Feb. 13, 2009 Philip A. Shaikun, FINRA, Washington, District of Columbia
Jan. 6, 2009 Dale E. Brown, CAE, President & CEO
Jan. 6, 2009 Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Dec. 9, 2008 Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities, LLC



Modified: 02/17/2009