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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5

(Release No. 34-59616.; File No. SR-FINRA-2009-008)


Comments have been received from individuals and entities using the following Letter Type A: 770
Comments have been received from individuals and entities using the following Letter Type B: 681
May 5, 2009 Richard E. Pullano, Associate Vice President and Chief Counsel, Registration and Disclosure, FINRA
Apr. 27, 2009 Doug Richards, Cedar Park, Texas
Apr. 22, 2009 Doria G. Bachenheimer, Vice President, Regulatory Law TIAA-CREF, New York, New York
Apr. 21, 2009 Hattie Evans, Registered Representative, Glenville, Pennsylvania
Apr. 21, 2009 James Rice, Registered Principal, Royal Alliance Associates, Wall, New Jersey
Apr. 20, 2009 Daniel Woodring, Vice President & Chief Compliance Officer, PFS Investments Inc.
Apr. 20, 2009 David Farrell
Apr. 20, 2009 John Still
Apr. 18, 2009 Robert Mabe
Apr. 18, 2009 Scot Bernstein, Law Offices of Scot D. Bernstein, A Professional Corporation, Mather Field, California
Apr. 17, 2009 Jesse Hill, Director of Regulatory Relations, Edward Jones
Apr. 17, 2009 Jenice L. Malecki, Esq., Malecki Law, New York, New York
Apr. 17, 2009 Sutherland Asbill & Brennan LLP
Apr. 17, 2009 Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc.
Apr. 17, 2009 Margie Adams, Director, Deutsche Bank Securities Inc.
Apr. 17, 2009 John R. Tait
Apr. 17, 2009 Rosemary J. Shockman, Shockman Law Office
Apr. 17, 2009 Jessica Vasquez, Willeford Law Firm, New Orleans, Louisiana
Apr. 17, 2009 Stephen Krosschell, Clearwater, Florida
Apr. 17, 2009 Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Banc of America Securities LLC, New York, New York
Apr. 17, 2009 Steven M. Sherman, Law Offices of Steven M. Sherman
Apr. 17, 2009 Lisa M. Roth, National Association of Independent Broker-Dealers, San Diego, California
Apr. 17, 2009 Robert C. Port, Esq., Cohen, Goldstein, Port Gottlieb, LLP, Atlanta, Georgia
Apr. 17, 2009 David M. Koll
Apr. 17, 2009 Geoffrey Boyer, President, Boyer Financial Group
Apr. 17, 2009 Michelle Oroschakoff, Managing Director and Jill Ostergaard ,Managing Director Managing Director, Morgan Stanley
Apr. 17, 2009 Michael P. Corry, President and David J. Stertzer, FLMI, CEO, Association for Advanced Life Underwriting
Apr. 17, 2009 Robert S. Rosenthal, Chief Legal Officer, MML Investors Services, Inc.
Apr. 17, 2009 Barry D. Estell, Esq., Mission, Kansas
Apr. 17, 2009 Laura Lang, IBSI
Apr. 17, 2009 Christine Lazaro, Supervising Attorney, Securites Arbitration Clinic, St. John's University School of Law, Queens, New York
Apr. 17, 2009 Colin S. Casey
Apr. 17, 2009 Eileen Arcuri, UBS Financial Services Inc., Weehawken, New Jersey
Apr. 17, 2009 W. Scott Greco, Greco & Greco, P.C.
Apr. 17, 2009 Amal Aly, Managing Director and Association General Counsel, SIFMA
Apr. 17, 2009 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Apr. 17, 2009 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Apr. 17, 2009 William S. Shepherd, Managing Partner, Shepherd, Smith & Edwards, LLP
Apr. 17, 2009 Jonathan W. Evans, Esq., Claimants' Attorney, Studio City, California
Apr. 17, 2009 Charles V. Senatore, Senior Vice President, Chief Compliance Officer, Fidelity Investments
Apr. 17, 2009 John S. Burke, Esq., Attorney, Higgins Burke, P.C., St. Charles, Illinois
Apr. 17, 2009 Nancy L.H. Boyd, Director of Compliance, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania
Apr. 17, 2009 Carl J. Carlson, Attorney, Seattle, Washington
Apr. 17, 2009 Kert Martin
Apr. 17, 2009 Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors
Apr. 17, 2009 Robert K. Savage, Esq., The Savage Law Firm, P.A.
Apr. 17, 2009 Fred Joseph, President, North American Securities Administrators Association
Apr. 17, 2009 Peter J. Mougey, Esq. and Kristian P. Kraszewski, Esq.
Apr. 17, 2009 William A. Jacobson, Esq., Associate Clinical Professor of Law, Director, Cornell Securities Law Clinic; Brian Kwang-Soo Youn, Cornell Law School '09; Kanwardeep Singh, Cornell Law School LLM '09; and Qing Wang, Cornell Law School' I0
Apr. 17, 2009 David Harrison, Law Offices of David Harrison
Apr. 17, 2009 Jan Graham, Graham Law Offices, Salt Lake City, Utah
Apr. 17, 2009 John W. Curtis, General Counsel Global Compliance, Goldman, Sachs Co., New York, New York
Apr. 17, 2009 Evan J. Charkes, Managing Director and Deputy General Counsel, Citigroup Global Markets, Inc.
Apr. 17, 2009 Nicholas J. Taldone, Attorney, Clearwater, Florida
Apr. 17, 2009 David Shrom, Shrom Associates/FSC Securities Corporation
Apr. 17, 2009 Jeffrey Kruske, Law Office of Jeffrey S. Kruske, P.A., Overland Park, Kansas
Apr. 17, 2009 Richard A. Lewins, Attorney Burg Simpson Eldredge Hersh Jardine PC, Dallas, Texas
Apr. 17, 2009 Stuart D. Meissner, Esq., Stuart D. Meissner LLC, New York, New York
Apr. 17, 2009 Richard G. Wallace, Foley Lardner LLP, Washington, District of Columbia
Apr. 17, 2009 Charles Maurice
Apr. 17, 2009 James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc.
Apr. 17, 2009 Justin Slattery
Apr. 17, 2009 Diane Anderson, Registrations Manager, Raymond James & Associates, Inc.
Apr. 17, 2009 Al Van Kampen, Attorney at Law, Seattle, Washington
Apr. 17, 2009 Tim Canning, Law Offices of Timothy A. Canning, Arcata, California
Apr. 16, 2009 Scott R. Shewan, Born, Pape & Shewan, LLP, Clovis, California
Apr. 16, 2009 Adam J. Gana, Napoli Bern Ripka, LLP, New York, New York
Apr. 16, 2009 William J. Gladden, Securities Arbitration Attorney, Savannah, Georgia
Apr. 16, 2009 John M. Ivan, Senior Vice President and General Counsel, Janney Montgomery Scott LLC
Apr. 16, 2009 Scott L. Silver, Esq., Managing Partner, Blum & Silver, LLP, Coral Springs, Florida
Apr. 16, 2009 Mario Dalla Valle, Richmond, Virginia
Apr. 16, 2009 Mitchell S. Ostwald, Esq., Law Offices of Mitchell S. Ostwald, Sacramento, California
Apr. 16, 2009 Janice K. Nielsen
Apr. 16, 2009 Kevin Vasilik
Apr. 16, 2009 Culpepper Webb
Apr. 16, 2009 Scott C. Ilgenfritz, Esq., Johnson, Pope, Bokor, Ruppel Burns, LLP, Tampa, Florida
Apr. 16, 2009 Roscoe O. Orton, CLU, President, Eastern Idaho Association of Insurance and Financial Advisors
Apr. 16, 2009 Gerald Calley
Apr. 16, 2009 Merrell Dean, Registered Representative, Ameritas Investment Corp.
Apr. 16, 2009 Sharon Herrick
Apr. 16, 2009 James D. Keeney, Esq., James D. Keeney, P.A.
Apr. 16, 2009 Theodore M. Davis, Esq., The New York Irish Center Building
Apr. 16, 2009 Steven W. Stambaugh, Registered Principal, LPL Financial
Apr. 16, 2009 Ronald M. Amato, Shaheen, Novoselsky, Staat, Filipowski Eccleston, PC, Chicago, Illinois
Apr. 16, 2009 Robert S. Banks, Jr., Banks Law Office, P.C., Portland, Oregon
Apr. 16, 2009 Laurence S. Schultz, Esquire, Founding Shareholder, Driggers, Schultz and Herbst, Troy, Michigan
Apr. 16, 2009 Charles M. Thompson, Attorney at Law
Apr. 16, 2009 Henry D. ("Hank") Fellows, Jr., Esq., Fellows LaBriola LLP
Apr. 16, 2009 Gwendolyn L. Wood
Apr. 16, 2009 Dayton P. Haigney, III, Attorney, New York, New York
Apr. 16, 2009 William B. (Blake) Woodard
Apr. 16, 2009 James A. Dunlap Jr. & Associates LLC
Apr. 16, 2009 R. Graham Self
Apr. 16, 2009 Thomas F. Taylor, CLU ChFC
Apr. 16, 2009 Linda L. Paulsen
Apr. 16, 2009 Alin L. Rosca, Attorney at law, John S. Chapman & Associates, LLC
Apr. 16, 2009 Daniel Stockemer
Apr. 16, 2009 Michael Kidd
Apr. 16, 2009 Rick Theobald
Apr. 16, 2009 Joseph W. Guess
Apr. 16, 2009 Jay Mccluskey
Apr. 16, 2009 Maria Buss
Apr. 16, 2009 Mark J. Miller
Apr. 16, 2009 Nicola Young
Apr. 16, 2009 Nancy A. Dorsett
Apr. 16, 2009 Richard J. Cooney
Apr. 16, 2009 Charlene Logan
Apr. 16, 2009 Anthony P. Ladas
Apr. 16, 2009 J. P. Hildebrand
Apr. 16, 2009 Joseph Kosek
Apr. 16, 2009 Bert Reames
Apr. 16, 2009 Paul Dougherty
Apr. 16, 2009 Tim Chisholm
Apr. 16, 2009 Steven Van Scoik
Apr. 16, 2009 Blair M. Broussard
Apr. 16, 2009 Michael Kish
Apr. 16, 2009 John M. Ivan, Senior Vice President and General Counsel, Janney Montgomery Scott LLC
Apr. 15, 2009 Nancy Kay, CCO, Wall Street Financial Group
Apr. 15, 2009 Lance B. Kolbet, RHU, LUTF, President, University Financial Group, Pocatello, Idaho
Apr. 15, 2009 Frederick T. Greene, CIMA, Senior V.P., Portfolio Manager, Woodforest Financial Services, Inc.
Apr. 15, 2009 R. Drew Kistler, Vice Chairman & Chief Compliance Officer, Hefren-Tillotson, Inc.
Apr. 15, 2009 Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price
Apr. 15, 2009 James Schuberth
Apr. 15, 2009 Marian H. Desilets, President, Association of Registration Management
Apr. 15, 2009 Jerry R. Neill CLU, ChFC
Apr. 15, 2009 Steve Klein, Chief Compliance Officer, Farmers Financial Solutions, LLC
Apr. 15, 2009 Raymond Kojetin
Apr. 15, 2009 Harold A. Schwartz
Apr. 15, 2009 Steven P. Brooks
Apr. 15, 2009 Roger Gainer
Apr. 15, 2009 Gary R. Young
Apr. 15, 2009 Cynthia Jo Johns
Apr. 15, 2009 James A. White
Apr. 15, 2009 Stephen Coon
Apr. 15, 2009 Jan Carpenter
Apr. 15, 2009 Richard N. Preston
Apr. 15, 2009 Robert T. MacDonald
Apr. 15, 2009 Courtney L. Livingston
Apr. 15, 2009 Douglas Olawsky
Apr. 15, 2009 Lori Susalla Oancea
Apr. 15, 2009 Laura Drake
Apr. 15, 2009 Terry Lewis
Apr. 15, 2009 Shaun Seedhouse
Apr. 15, 2009 Norajane McIntyre
Apr. 15, 2009 Ralph Barringer
Apr. 15, 2009 Bradley J. Green
Apr. 15, 2009 Tom Schmidt
Apr. 15, 2009 Lawrence A. Wanek, CFP, ChFC, LUTCF
Apr. 15, 2009 David Moffet
Apr. 15, 2009 Christopher Taggart
Apr. 15, 2009 Stephen D. Mann
Apr. 15, 2009 Jill Clark
Apr. 15, 2009 Michael J. Frailey, LUTCF
Apr. 15, 2009 Stephanie L. Brown, Managing Director, General Counsel, LPL Financial Corporation
Apr. 14, 2009 Gregory C. Sernett, Vice President, Chief Compliance Officer, Ameritas Investment Corp.
Apr. 14, 2009 Jeffrey A. Feldman, Law Offices of Jeffrey A. Feldman, San Francisco, California
Apr. 14, 2009 Seth E. Lipner, Prof. of Law, Zicklin School of Business, Baruch College, CUNY, Member, Deutsch Lipner (Garden City, N.Y.), New York, New York
Apr. 14, 2009 Philip M. Aidikoff, Esq., Attorney, Beverly Hills, California
Apr. 14, 2009 William P. Torngren, Attorney, Sacramento, California
Apr. 14, 2009 Stephen P. Meyer, Esquire, Charleston, West Virginia
Apr. 14, 2009 John Miller, Attorney, Swanson Midgley, LLC, Kansas City, Missouri
Apr. 13, 2009 Keith Miller
Apr. 13, 2009 Ronald L. King, Chief Compliance Officer, Capital Investment Companies
Apr. 13, 2009 Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc.
Apr. 13, 2009 Bradley R. Stark, P.A.
Apr. 13, 2009 Steve A. Buchwalter, Esq., Attorney, Encino, California
Apr. 13, 2009 Leonard Steiner, Lawyer, Beverly Hills, California
Apr. 13, 2009 Brent Johnson, President, Financial Synergies, Inc.
Apr. 13, 2009 Pam Fritz, Chief Compliance Officer, MWA Financial Services, Inc.
Apr. 10, 2009 Hugh Nichols, Registered Representative, Mutual Service Corporation
Apr. 10, 2009 Alan Freedman, Financial Advisor, Geronimo Financial, LLC
Apr. 10, 2009 Brian N. Smiley, President, Public Investors Arbitration Bar Association
Apr. 10, 2009 Ken Loebel, Vice President, BankFinancial
Apr. 10, 2009 Suzanne Seay, CFP
Apr. 10, 2009 Charles Lutrick, Registered Representative
Apr. 10, 2009 William Grace, Registered Representative, Danbury, Connecticut
Apr. 9, 2009 Arthur F. Grant, President, Cadaret Grant
Apr. 9, 2009 John Austin, Registered Principal, Financial Network, Brookeville, Maryland
Apr. 9, 2009 Daniel W. Roberts, San Francisco, California
Apr. 9, 2009 J. Pat Sadler, Esq., Sadler Hovdesven, P.C., Atlanta, Georgia
Apr. 9, 2009 Richard A. Stephens, Esq., FINRA Arbitrator, Practicing Attorney, and former SEC Enforcement Attorney, Boca Raton, Florida
Apr. 9, 2009 David P. Neuman, Stoltmann Law Offices, P.C., Chicago, Illinois
Apr. 9, 2009 Henry W. Garrett, Investment Adviser Representative, Houston, Texas
Apr. 9, 2009 Jeff White, CFP, Retirement-Coach
Apr. 9, 2009 Jude McDaniel, President, McDaniel & McDaniel
Apr. 9, 2009 Thomas Schirmer, Registered Represenative & Principal, FNIC
Apr. 9, 2009 Charles Robertson, Financial Planner/Advisory Rep., Triad Advisors
Apr. 9, 2009 Gregory J. Spinazze, Senior Vice President, Cambridge Wealth Strategies
Apr. 8, 2009 Jerome Bonnett, President, Bonnett Financial Services, Inc., Omaha, Nebraska
Apr. 8, 2009 Daniel Thomas, Jr., Certified Financial Planner, Thomas Financial Group LLC
Apr. 8, 2009 Marsha Williams, Woodforest Financial Services
Apr. 8, 2009 Mary Allen, Financial Advisor, Royal Alliance Associates, Inc.
Apr. 8, 2009 Michael Klimis, President, CEO, Klimis & Associates, Inc.
Apr. 8, 2009 J. Richard Coe, President, Coe Financial Services, Wichita, Kansas
Apr. 8, 2009 John Dardis, Division Manager, NEXT Financial Group
Apr. 8, 2009 John Morey, Financial Advisor, Omaha, Nebraska
Apr. 8, 2009 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC, Burbank, California
Apr. 7, 2009 Ryan K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, Beverly Hills, California
Apr. 7, 2009 Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York
Apr. 6, 2009 Richard M. Layne, Law Office of Richard M. Layne, Portland, Oregon
Apr. 3, 2009 Herb Pounds, San Antonio, Texas
Apr. 3, 2009 John L. Small, Atlanta, Georgia
Apr. 1, 2009 Edward J. Wiles, Jr, District 11 Committee Member, SVP, CCO Genworth Financial Securities Corp., Stamford, Connecticut
Mar. 26, 2009 Patricia A. Nelson, Brooklyn, New York
Mar. 26, 2009 Robert Keenan, CEO, St Bernard Financial Services, Inc., Russellville, Arkansas

 

http://www.sec.gov/comments/sr-finra-2009-008/finra2009008.shtml

Modified: 10/16/2014