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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook and to Delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f)

(Release No. 34-60669; File No. SR-FINRA-2009-058)


Nov. 16, 2010 Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF Individual & Institutional Services, LLC
Oct. 26, 2010 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia
Sep. 16, 2010 Adam H. Arkel, Assistant General Counsel, FINRA
Oct. 13, 2009 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Oct. 13, 2009 Jonathan Feigelson, SVP, General Counsel, TIAA-CREF
Oct. 9, 2009 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute

 

 

 

 

http://www.sec.gov/comments/sr-finra-2009-058/finra2009058.shtml

Modified: 11/18/2010