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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Define Asset-Backed Securities, Mortgage-Backed Securities, and Other Similar Securities as TRACE-Eligible Securities and Require the Reporting of Transactions in Such Securities to TRACE

(Release No. 34-60860; File No. SR-FINRA-2009-065)


Mar. 22, 2010 Association of Mortgage Investors, c/o Micah S. Green, Esq., Patton Boggs LLP
Mar. 22, 2010 Randolph C. Snook, Senior Managing Director and Executive Vice President, Securities Industry and Financial Markets Association
Mar. 8, 2010 Mike Nicholas, Chief Executive Officer, Regional Bond Dealers Association
Dec. 22, 2009 Sharon Zackula, Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority
Nov. 18, 2009 George P. Miller, Executive Director, American Securitization Forum, and Randolph C. Snook, Senior Managing Director and Executive Vice President, Securities Industry and Financial Markets Association
Nov. 17, 2009 John Higum, Alexandria Capital Management Inc., Bentonville, Arkansas
Nov. 15, 2009 Willard Stein, Ph.D., CFA, Princeton, New Jersey
Nov. 13, 2009 Beth N. Lowson, Esq., The Nelson Law Firm, LLC, White Plains, New York

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2009-065/finra2009065.shtml

Modified: 10/16/2014