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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend FINRA Rule 9520 Series (Eligibility Proceedings)
[Release No. 34-63316; File No. SR-FINRA-2010-056]
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| Sep. 5, 2018 | FINRA's Statement in Support of Proposed Rule Change to Adopt FINRA Rule 1113 and to Amend the FINRA Rule 9520 Series |
| Feb. 4, 2011 | Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia |
| Dec. 20, 2010 | Manuel P. Asensio-Garcia |
| Dec. 13, 2010 | The Board of Directors of ASG Securities, Inc. and Michael Scillia, Chairman, for the Firm |
http://www.sec.gov/comments/sr-finra-2010-056/finra2010056.shtml
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