SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Expand TRACE to Include Agency Debt Securities and Primary Market Transactions

(Release No. 34-59733; File No. SR-FINRA-2009-010)


Nov. 13, 2009 Beth N. Lowson, Esq., The Nelson Law Firm, LLC, White Plains, New York
Aug. 26, 2009 Sharon Zackula, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
May 22, 2009 Don Winton, Crews & Associates
May 7, 2009 Manisha Kimmel, Executive Director, Financial Information Forum
May 7, 2009 Heather Traeger, Associate Counsel, Investment Company Institute, Washington, D.C.
May 7, 2009 Sean C. Davy, Managing Director, and Robert Toomey, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
May 7, 2009 Joseph W. Sack, Managing Director, Asset Management Group, Securities Industry and Financial Markets Association, New York, New York
May 7, 2009 Michael Decker and Mike Nicholas, Co-Chief Executive Officers, Regional Bond Dealers Association
May 5, 2009 Beth N. Lowson, Esq., The Nelson Law Firm, LLC, White Plains, New York
Apr. 17, 2009 Robert F. Anderson, CFA, Senior Managing Director, Fixed Income Trading, New York, New York

 

http://www.sec.gov/comments/sr-finra-2009-010/finra2009010.shtml

Modified: 10/16/2014