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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]
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| 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
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