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Comments on FINRA Rulemaking
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
(Release No. 34-59921; File No. SR-FINRA-2009-028)
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Feb. 3, 2012 | James McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Nov. 4, 2011 | Memorandum from the Division of Trading and Markets regarding an October 11, 2011, conference call with representatives of the Securities Industry and Financial
Markets Association (SIFMA) and the Financial Industry Regulatory Authority (FINRA) |
Sep. 27, 2011 | Bonnie K. Wachtel, CEO, Wachtel & Co Inc, Washington, District of Columbia |
Aug. 25, 2011 | Robert C. Rungee, Senior Compliance Specialist, People's Securities, Inc. |
Aug. 24, 2011 | James T. McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Aug. 23, 2011 | Jesse Hill, Director of Regulatory Relations, Edward Jones |
Aug. 23, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
Aug. 22, 2011 | Adym Rygmyr, Managing Director & Broker-Dealer General Counsel, TIAA-CREF, Denver, Colorado |
Aug. 18, 2011 | Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
(Release No. 34-59921; File No. SR-FINRA-2009-028)
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Jul. 13, 2009 | Jonathan Feigelson, SVP, General Counsel, TIAA-CREF, New York, New York |
Jun. 11, 2009 | Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers |
Jun. 11, 2009 | Jonathan Feigelson, SVP, General Counsel, TIAA-CREF, New York, New York |
Jun. 11, 2009 | John Muschalek, Managing Director, Clearing Services Division, First Southwest Company |
Jun. 11, 2009 | Bari Havlik, Chief Compliance Officer,, Senior Vice President, Charles Schwab & Co., Inc. |
Jun. 11, 2009 | John S. Markle, Deputy General Counsel, Regulatory Operations, TD AMERITRADE Holding Corporation |
Jun. 11, 2009 | David J. Pearlman, Chair, Regulatory Affairs Committee, College Savings Foundation |
Jun. 11, 2009 | Sean C. Davy, Managing Director, Corporate Credit Markets Division, Securities Industry and Financial Markets Association (SIFMA), New York, New York |
Jun. 11, 2009 |
Dale E. Brown, President & CEO, Financial Services Institute, Inc. |
Jun. 10, 2009 |
Jesse Hill, Director of Regulatory Services, Edward Jones |
Jun. 10, 2009 |
Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute |
Jun. 9, 2009 |
Gene Woodham, Chief Operating Officer, Sterne Agee Group, Inc. |
http://www.sec.gov/comments/sr-finra-2009-028/finra2009028.shtml
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