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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)


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)


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

Modified: 10/16/2014