|
|
Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
(Release No. 34-61677; File No. SR-FINRA-2009-054)
|
Jun. 22, 2010 | Racquel L. Russell, FINRA, Washington, District of Columbia |
Apr. 9, 2010 | R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc. |
Apr. 6, 2010 | Daniel Kanter, President, Monroe Securities and Craig Carlino, Chief Compliance Officer, Monroe Securities |
Notice of Filing of Proposed Rule Change to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
(Release No. 34-60515; File No. SR-FINRA-2009-054)
|
Jan. 6, 2010 | R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc. |
Oct. 13, 2009 | Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Oct. 6, 2009 | Christopher Nagy, TD Ameritrade, Inc., Omaha, Nebraska |
Sep. 23, 2009 | R. Cromwell Coulson, President & CEO, Pink OTC Markets Inc. |
Sep. 23, 2009 | Janet M. Kissane, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext |
Sep. 16, 2009 | William Assatly, Sr. Vice President, Trading, Mercator Associates |
Sep. 16, 2009 | Leonard J. Amoruso, General Counsel, and Michael T. Carrao, Chief Compliance Officer, Knight Capital Group, Inc. |
Sep. 16, 2009 | Elaine M. Kaven, Chief Compliance Officer, StockCross Financial Services, Inc. |
Sep. 16, 2009 | Kimberly Unger, Security Traders Association of New York, Inc., New York, New York |
Sep. 16, 2009 | Daniel Kanter, President, and Craig Carlino, Chief Compliance Officer, Monroe Securities, Inc. |
Sep. 14, 2009 | Kimberly Unger, The Security Traders Association of New York, Inc., New York , New York |
Sep. 1, 2009 | Anonymous |
http://www.sec.gov/comments/sr-finra-2009-054/finra2009054.shtml
|