SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution

(Release No. 34-60960; File No. SR-FINRA-2009-061)


Mar. 22, 2010 Financial Industry Regulatory Authority
Nov. 24, 2009 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Nov. 12, 2009 James Downing, CCO, Cheevers and Company, Inc.

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2009-061/finra2009061.shtml

Modified: 10/16/2014