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Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook

[Release No. 34-64687; File No. SR-FINRA-2011-013]


Jul. 2, 2011 D. Grant Vingoe, Esq., Arnold & Porter LLP, New York, New York
 
 

Notice of Filing of Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook

[Release No. 34-64080; File No. SR-FINRA-2011-013]


Jun. 15, 2011 Erika Lazar, Financial Industry Regulatory Authority, Washington, District of Columbia
May 4, 2011 Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF Individual & Institutional Services, LLC
May 3, 2011 John W. Curtis, Managing Director, General Counsel - Global Compliance, Goldman, Sachs & Co.
May 2, 2011 David S. Massey, President, North American Securities Administrators Association
Apr. 29, 2011 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Apr. 8, 2011 Jesse D. Hill, Director of Regulatory Relations, Edward Jones
Apr. 8, 2011 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Apr. 8, 2011 Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc.
Apr. 8, 2011 Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors, LLC
Apr. 8, 2011 Joan Hinchman, Executive Director, CEO and President, National Society of Compliance Professionals Inc.
Apr. 8, 2011 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute
Apr. 8, 2011 D. Grant Vingoe, Esquire, Partner, Arnold & Porter LLP, New York, New York
Apr. 8, 2011 James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc.
Apr. 8, 2011 Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF
Apr. 8, 2011 Matthew J. Gavaghan, Janney Montgomery Scott LLC
Apr. 6, 2011 Z. Jane Riley, Chief Compliance Officer, The Leaders Group, Inc./TLG Advisors, Inc., Littleton, Colorado
Mar. 25, 2011 Jeffrey B. Williams, Vice President & Chief Compliance Officer, Northwestern Mutual Investment Services. LLC
Mar. 22, 2011 Corey N. Callaway, CEO, Callaway Financial Services, Inc., Arlington, Texas

 

http://www.sec.gov/comments/sr-finra-2011-013/finra2011013.shtml

Modified: 07/05/2011