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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)
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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
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