Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment

(Release No. 34-60624; File No. SR-FINRA-2009-057)

Comments have been received from individuals and entities using the following Letter Type A: 4
Comments have been received from individuals and entities using the following Letter Type B: 672
Nov. 18, 2009	Philip Shaikun, FINRA, Washington, District of Columbia
Oct. 13, 2009	Mark E. Larson, Esquire, CPA, Academic Director of the Certificate in Financial Planning Program at Marquette University, Lisle, Illinois
Oct. 5, 2009	Daniel W. Roberts, President/CEO, Roberts & Ryan Investments Inc.
Oct. 5, 2009	Jonathan W. Cuneo, Cuneo Gilbert & Laduca, LLP, and Richard D. Greenfield, Greenfield & Goodman LLC, on behalf of Standard Investment Chartered, Inc., Washington, District of Columbia
Oct. 5, 2009	Elliott Harris
Oct. 2, 2009	Debra G. McGuire, CPA, McGuire Dyke Investment Group
Oct. 2, 2009	Gerard P. Gloisten, President, GBS Financial Corp.
Oct. 2, 2009	Mark J. Schlafly, President & CEO, FSC Securities Corporation, Inc.
Oct. 2, 2009	Dale E. Brown, Financial Services Institute, Inc.
Oct. 2, 2009	Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Oct. 2, 2009	Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Oct. 2, 2009	John S. Watts, SVP & Chief Counsel, PFS Investments Inc
Oct. 2, 2009	E. John Moloney, Chairman, SIFMA Small Firms Committee, Securities Industry and Financial Markets Association
Oct. 2, 2009	David E. Axtell, Compliance Director, State Farm Investment Management Corp., Bloomington, Indiana
Oct. 2, 2009	Paul Cellupica, Chief Counsel, Securities Regulation & Corporate Services, MetLife, Inc.
Oct. 2, 2009	Edward Wiles, SVP & CCO, Genworth Financial Securities Corp.
Oct. 2, 2009	James M. Clous, RR
Oct. 2, 2009	Kevin L. Palmer, CEO/President, World Group Securities, Duluth, Georgia
Oct. 1, 2009	Richard P. Woltman, CEO & Chairman, Girard Securities, Inc.
Oct. 1, 2009	Paige W. Pierce, CEO, RW Smith Associates, Inc., Seattle, Washington
Sep. 30, 2009	Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Sep. 30, 2009	Kevin Tucker
Sep. 29, 2009	Nicholas C. Cochran, Vice President, American Investors Company, San Ramon, California
Sep. 29, 2009	Robert Black, Jr., President, Legacy Planning Group, Inc.
Sep. 29, 2009	Edward Skelly, President, Sterling Financial Partners
Sep. 29, 2009	Sandra Hay Magdaleno, CFP
Sep. 29, 2009	Pamela Goodall
Sep. 29, 2009	Jim Loessberg
Sep. 29, 2009	Russell L. Bacon, MBA, CSA, Director, Montgomery Wealth Management
Sep. 29, 2009	Cynthia Iquinto
Sep. 28, 2009	D.W. Hadley, Jr., Capital Analysts of NC, Inc.
Sep. 28, 2009	Michelle E. Heyne, CCO, McAdams Wright Ragen, Inc., Seattle, Washington
Sep. 28, 2009	Joel Dash
Sep. 28, 2009	Donna M. Stevenson
Sep. 28, 2009	Penn Rettig, Branch Manager, Multi Financial Securities Corp.
Sep. 28, 2009	John Terry, President, High Street Securities, Inc.
Sep. 26, 2009	Martin Cohen, President, Balanced Financial Securities
Sep. 25, 2009	Robert B. Lyons, CLU, ChFC
Sep. 25, 2009	S. Ann Pugh, CFP
Sep. 25, 2009	Stephen Russell, Senior Vice President, VSR Financial Services, Inc.
Sep. 25, 2009	Brian Perley, ChFC, CFP, Hammond Financial, Inc.
Sep. 25, 2009	Jeffrey M. Auld, President and Chief Executive Officer, SagePoint Financial, Inc.
Sep. 25, 2009	William Robbins, Registered Representative, Coordinated Capital Securities, Inc
Sep. 25, 2009	Pamela Fritz, CCO, MWA Financial Services, Inc.
Sep. 25, 2009	Bruce Ferguson
Sep. 25, 2009	Kurt Dressler
Sep. 25, 2009	James G. Timpa
Sep. 25, 2009	Sherri White
Sep. 24, 2009	Janice Hobbs, President, JanHobbs Financial Group
Sep. 24, 2009	Daniel G. Trout
Sep. 24, 2009	Jonathan Meaney, CFP
Sep. 24, 2009	Kate Marvel, President, Marvel Financial Planning, Inc.
Sep. 24, 2009	James Woytcke, CEO/Owner, Financial Success Ltd.
Sep. 24, 2009	Suzanne Seay, CFP
Sep. 24, 2009	John Sklencar, Financial Advisor, FSC Securities Corp.
Sep. 24, 2009	John Ikeda, Registered Principal, Financial Network Investment Corp.
Sep. 24, 2009	Timothy Jones, Chairman, CJM Wealth Advisers, LTD
Sep. 24, 2009	Gary Orler
Sep. 24, 2009	David L. Ehrig
Sep. 24, 2009	Tim
Sep. 24, 2009	Nancy Wheeler Bertacini, Curnes Financial Group, FNIC
Sep. 24, 2009	Frank L. Smith, President, Foresters Equity Services, Inc., San Diego, California
Sep. 23, 2009	Kevin Hart Korfield
Sep. 22, 2009	David M. Sobel, Esq., EVP / CCO, Abel/Noser Corp.
Sep. 21, 2009	Anthony Pappas, Ph.D., President, Whitestone Securities Inc.
Sep. 17, 2009	Phillip H. Palmer, ChFC, President and CEO, First Independent Financial Services, Inc. and Affiliates
Sep. 17, 2009	William R. Sykes, President, Sykes Financial Services LLC
Sep. 17, 2009	Richard J. Carlesco Jr. LUTCF, IBN Financial Services, Inc.
Sep. 2, 2009	Jonathan Zulauf