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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities

(Release No. 34-60999; File No. SR-FINRA-2009-077)


Feb. 3, 2012 Rep. Michael G. Grimm, Member of Congress
Apr. 18, 2011 Memorandum from the Division of Trading and Markets regarding a March 28, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Apr. 15, 2011 Memorandum from the Office of Commissioner Aguilar regarding an April 15, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Apr. 8, 2011 Memorandum from the Division of Trading and Markets regarding a March 8, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Apr. 8, 2011 Memorandum from the Division of Trading and Markets regarding a March 8, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Apr. 4, 2011 Memorandum from the Office of Commissioner Aguilar regarding an April 1, 2011 meeting with representatives of FINRA
May 6, 2010 Memorandum from the Office of Commissioner Paredes regarding an April 23, 2010 meeting with representatives of the Financial Industry Regulatory Authority
May 5, 2010 Neal E. Sullivan and W. Hardy Callcott, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc.
Apr. 20, 2010 Memorandum from the Office of Commissioner Walter regarding an April 20, 2010 meeting with representatives of Pink OTC Markets Inc.
Apr. 15, 2010 Memorandum from the Office of Commissioner Walter regarding an April 15, 2010 meeting with representatives of FINRA
Apr. 23, 2010 Memorandum from the Office of Commissioner Aguilar regarding a Meeting with Representatives of FINRA
Mar. 25, 2010 Mark H. Close, Oppenheimer & Close, Inc.
Mar. 19, 2010 Michael Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc.
Mar. 18, 2010 Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA, Washington, District of Columbia
Mar. 12, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 8, 2010, meeting with representatives of Pink OTC Markets, Inc. and Bingham McCutchen
Mar. 4, 2010 Jack Herstein, Chairperson of NASAA Corporation Finance Section Committee and Nebraska Securities Administrator
Feb. 25, 2010 Melissa MacGregor, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Feb. 19, 2010 Memorandum from the Office of Commissioner Aguilar regarding a February 9, 2010, meeting with representatives of Pink OTC Markets, Inc.
Feb. 4, 2010 David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Feb. 4, 2010 Brett F. Mock, Chairman, Security Traders Association and John C. Giesea, President and CEO, Security Traders Association
Jan. 26, 2010 Christopher Meyer, Chief Compliance Officer, E*TRADE Capital Markets, LLC
Jan. 26, 2010 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. and Michael T. Corrao, Chief Compliance Officer, Knight Equity Markets, L.P.
Jan. 14, 2010 Eugene P. Torpey, Frank P, Catrini, Christopher Catrini, Timothy Barba, Jayson Spitzer; Vandham Securities Corp.
Jan. 13, 2010 Kimberly Unger, Esq., The Security Traders Association of New York, Inc., New York, New York
Dec. 18, 2009 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington D.C.
Dec. 17, 2009 Walter P. Carucci, President, Carr Securities Corp.
Dec. 15, 2009 Glenn Chaleff, Compliance, The Vertical Group
Dec. 14, 2009 Jess Haberman
Dec. 14, 2009 R. Cromwell Coulson, President & CEO, Pink OTC Markets Inc.

 

http://www.sec.gov/comments/sr-finra-2009-077/finra2009077.shtml

Modified: 10/16/2014