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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook

(Release No. 34-60475; File No. SR-FINRA-2009-047)


Feb. 5, 2010 Gary L. Goldsholle, FINRA, Washington, District of Columbia
Sep. 18, 2009 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Sep. 8, 2009 Jill Gross, Pace Investor Rights Clinic, White Plains, New York
Sep. 8, 2009 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Sep. 8, 2009 William A. Jacobson, Associate Clinical Professor, and Director, Cornell Securities Law Clinic, Ithaca, New York
Sep. 4, 2009 Frederick T. Greene, CIMA, Senior V.P., Portfolio Manager, Woodforest Financial Services, Inc.

 

http://www.sec.gov/comments/sr-finra-2009-047/finra2009047.shtml

Modified: 02/09/2010