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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions

(Release No. 34-61090; File No. SR-FINRA-2009-040)


Jul. 6, 2011 FINRA Email Correspondence
Apr. 28, 2010 Gary L. Goldsholle, FINRA, Washington, District of Columbia
Jan. 17, 2010 Paul Orlowski
Jan. 13, 2010 William Cahill, President and COO, TradeStation Securities, Inc.
Jan. 4, 2010 David M. Battan, Executive Vice President, Legal/Compliance, Interactive Brokers Group
Jan. 4, 2010 Dennis A. Klejna, Senior Vice President and Assistant General Counsel, MF Global Inc.
Jan. 4, 2010 John M. Damguard, President, Futures Industry Association
Dec. 29, 2009 John S. Markle, Deputy General Counsel, Regulatory Operations, TD AMERITRADE Holding Corporation
Dec. 29, 2009 Korman Tam, Managing Director, MG Securities, LLC

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions

(Release No. 34-60172; File No. SR-FINRA-2009-040)


Dec. 17, 2009 Memorandum regarding a December 4, 2009, meeting with representatives of Interactive Brokers
Aug. 27, 2009 Gary L. Goldsholle, FINRA, Washington, District of Columbia
Jul. 27, 2009 John M. Damgard, President, Futures Industry Association
Jul. 27, 2009 Christopher Nagy, Managing Director Order Routing Strategy, TD AMERITRADE, Inc., and Peter D. Santori, Senior Vice President and General Counsel, thinkorswim Group Inc.
Jul. 27, 2009 David M. Battan, Executive Vice President, Legal/Compliance, Interactive Brokers Group
Jul. 20, 2009 Douglas W. Schriner, CEO, Harrison Douglas, Inc., Aurora, Colorado
Jun. 13, 2009 Ryan Koester
Jun. 13, 2009 George Selinsky
Feb. 21, 2009 Aaron I. Cohn
Feb. 17, 2009 Mary M. Jackson
Feb. 11, 2009 Steve Gallagher
Feb. 11, 2009 Steve Gallagher, Evonne Doctor, Kathy Muller, Ernie Gazdag, Harry Engleman, John McCann, Diane Mumma-Wakabayashi, Ann Esaias, Dennis Nowicki, Richard J. Williams, Ray Figlewski, Mike Wietor, Chuck Sande, Paul Otlo, Kim Oliver, Tracy Forman, Richard Schmidt, Steven Gleason, Don Fortner, Irawan Susanto, Erik Pettersen, Brian Dawson, Mary McAllister, Patricia Barkman, Ray Figlewski, Larry Weis, Chrisjean Tiberti, Al Hanson, Keith T. Maring, Jerry J., Bob O’Brien, Tim Primavera Sr., Pamela Cox, Alain Chevrot
Feb. 8, 2009 Mike Andrews
Feb. 8, 2009 Mike Andrews

 

http://www.sec.gov/comments/sr-finra-2009-040/finra2009040.shtml

Modified: 08/18/2011