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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)

(Release No. 34-60836; File No. SR-FINRA-2009-060)


Dec. 22, 2009 Stan Macel, Assistant General Counsel Regulatory Policy and Oversight, FINRA, Washington, D.C.
Dec. 16, 2009 Ira D. Hammerman, Senior Managing Director and General Counsel, Securities Industry and Financial Markets Association
Nov. 12, 2009 Bari Havlik, Chief Compliance Officer, Senior Vice President, Charles Schwab & Co., Inc.
Nov. 12, 2009 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Nov. 4, 2009 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Oct. 29, 2009 BTUD
Oct. 29, 2009 Frederick T. Greene, CIMA, Senior V.P., Portfolio Manager, Woodforest Financial Services, Inc.
Oct. 29, 2009 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC

 

 

 

http://www.sec.gov/comments/sr-finra-2009-060/finra2009060.shtml

Modified: 10/16/2014