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Comments on FINRA Rulemaking

Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook

[Release No. 34-63260; File No. SR-FINRA-2010-034]


Dec. 6, 2010 Dale E. Brown, President & CEO, Financial Services Institute, Inc.

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook

[Release No. 34-62621; File No. SR-FINRA-2010-034]


Sep. 23, 2010 Memorandum from the Division of Trading and Markets regarding a September 2, 2010, meeting with representatives of the Committee of Annuity Insurers
Sep. 15, 2010 Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Sep. 1, 2010 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Sep. 1, 2010 Michael Lesutis, Assistant General Counsel, PFSI Investments, Inc.
Aug. 30, 2010 Sutherland Asbill and Brennan LLP, on behalf of the Committee of Annuity Insurers
Aug. 30, 2010 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals, Inc..
Aug. 30, 2010 Kristin Bulls, Products and Broker-Dealer , Compliance Director, State Farm VP Management Corp.
Aug. 27, 2010 Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network, Waltham, Massachusetts

 

 

http://www.sec.gov/comments/sr-finra-2010-034/finra2010034.shtml

Modified: 12/09/2010