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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

Modified: 10/16/2014