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Comments on FINRA Rulemaking
Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
[Release No. 34-63325; File No. SR-FINRA-2010-039]
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| Dec. 14, 2010 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Dec. 14, 2010 | Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
[Release No. 34-62718; File No. SR-FINRA-2010-039]
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| Oct. 21, 2010 | James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia |
| Sep. 28, 2010 | Timothy R. Wing, President and CEO, CME Stock/Option Consulting Services, Inc. |
| Sep. 27, 2010 | Dale E. Brown, President and CEO, Financial Services Institute, Inc. |
| Sep. 24, 2010 | Scott C. Ilgenfritz, Johnson, Pope, Bokor, Ruppel & Burns, LLP |
| Sep. 15, 2010 | John S. Markle, Deputy General Counsel, TD Ameritrade, Columbia, Maryland |
| Sep. 14, 2010 | James T. McHale, Managing Director and Associate General Counsel, SIFMA |
| Sep. 10, 2010 | Al Van Kampen, Esquire, Seattle, Washington |
| Sep. 9, 2010 | Peter J. Mougey, Levin, Papantonio, Thomas, Mitchell, Echsner, Rafferty, Proctor, P.A., Pensacola, Florida |
| Sep. 9, 2010 | Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co. Inc., San Francisco, California |
| Sep. 9, 2010 | G. Mark Brewer, Esquire, San Diego, California |
| Sep. 9, 2010 | Lisa Catalano, Director, St. John's University School of Law Securities Arbitration Clinic, Queens, New York |
| Sep. 9, 2010 | Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Sep. 9, 2010 | Stephen Krosschell, Goodman Nekvasil, P.A., Clearwater, Florida |
| Sep. 9, 2010 | Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors |
| Sep. 9, 2010 | Pamela Lewis Marlborough, Associate General Counsel, Advocacy & Oversight, TIAA-CREF |
| Sep. 9, 2010 | Scott R. Shewan, President, Public Investors Arbitration Bar Association |
| Sep. 9, 2010 | Tina G. Stavrou, Assistant General Counsel, North American Securities Administrators Association, Washington, District of Columbia |
| Sep. 9, 2010 | William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Sep. 9, 2010 | Richard M. Layne, Portland, Oregon |
| Sep. 9, 2010 | David P Neuman, Stoltmann Law Offices, PC, Chicago, Illinois |
| Sep. 9, 2010 | Barbara Black, Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law, and Jill I. Gross, Professor of Law and Director of Legal Skills and Director, Pace Investor Rights Clinic, Pace University School of Law |
| Sep. 9, 2010 | Barry D. Estell, Attorney Representing Customers in FINRA Arbitration, Mission, Kansas |
| Sep. 8, 2010 | Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York |
http://www.sec.gov/comments/sr-finra-2010-039/finra2010039.shtml
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