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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook

[Release No. 34-64386; File No. SR-FINRA-2011-018]


Jun. 3, 2011 Gary T. Johnson, Managing Director, Compliance Department, Pershing LLC
May 31, 2011 Stephanie L. Brown, Managing Director, General Counsel, LPL Financial LLC
May 31, 2011 Bari Havlik, Chief Compliance Officer, Senior Vice President, Charles Schwab & Co., Inc.
May 31, 2011 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
May 31, 2011 Peter J. Mougey, President, Public Investors Arbitration Bar Association
May 31, 2011 Christopher P. Laia, Vice-President, General Counsel, USAA Investment Management Company
May 31, 2011 Clifford E. Kirsch and Susan S. Krawczyk, Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers
May 31, 2011 Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
May 31, 2011 Karrie McMillan, General Counsel, Investment Company Institute, Washington, District of Columbia
May 31, 2011 Dorothy A. Berry, Chair, Governing Council, Independent Directors Council
May 27, 2011 Richard D. Marshall, Esq., Ropes & Gray LLP, on behalf of Mutual of America Securities Corporation
May 26, 2011 Pamela Lewis Marlborough, Esq,, Associate General Counsel, TIAA-CREF, Denver, Colorado

 

http://www.sec.gov/comments/sr-finra-2011-018/finra2011018.shtml

Modified: 06/08/2011