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Comments on FINRA Rulemaking
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendments Nos. 1, 2 and 3, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
[Release No. 34-66681; File No. SR-FINRA-2011-035]
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
[Release No. 34-66049; File No. SR-FINRA-2011-035]
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| Mar. 29, 2012 | John Polanin and Claire Santaniello
Co-Chairs, Compliance and Regulatory Policy Committee 2012, SIFMA |
| Mar. 6, 2012 | Joseph P. Savage, Vice President & Counsel
Investment Companies Regulation, FINRA, Washington, District of Columbia |
| Jan. 19, 2012 | Stephanie Nicolas, WilmerHale |
| Jan. 18, 2012 | Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia |
| Jan. 18, 2012 | Memorandum from the Division of Trading and Markets regarding December 21, 2011, and January 4, 2012, conference calls with representatives of the Investment Company Institute |
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
[Release No. 34-65663; File No. SR-FINRA-2011-035]
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| Dec. 22, 2011 | Joseph P. Savage, Vice President & Counsel, Investment Companies Regulation, FINRA, Washington, District of Columbia |
| Dec. 7, 2011 | John Polanin, Co-Chair, Compliance and
Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association and Claire Santaniello, Co-Chair, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association |
| Dec. 7, 2011 | Melissa Callison, Vice President, Compliance, Charles Schwab & Co., Inc |
| Dec. 7, 2011 | Jeremiah McGair, Attorney, Wolverine Execution Services, LLC |
| Dec. 7, 2011 | Alexander C. Gavis, Vice President & Associate General Counsel, FMR LLC Legal Department, Fidelity Investments |
| Dec. 7, 2011 | Sandra J. Burke, Principal, Vanguard |
| Dec. 7, 2011 | Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute |
| Dec. 7, 2011 | David T. Bellaire, General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Nov. 2, 2011 | Philip A Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia |
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
[Release No. 34-64984; File No. SR-FINRA-2011-035]
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| Oct. 31, 2011 | Joseph P. Savage, Vice President & Counsel, Investment Companies Regulation, FINRA, Washington, District of Columbia |
| Aug. 26, 2011 | Yoon-Young Lee, WilmerHale LLP, Washington, District of Columbia |
| Aug. 25, 2011 | John Polanin and Claire Santaniello, Co-Chairs, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association |
| Aug. 24, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Aug. 24, 2011 | Alexander C. Gavis, FMR LLC Legal Department, Fidelity Investments |
| Aug. 24, 2011 | Sandra J. Burke, Principal, Vanguard, Valley Forge, Pennsylvania |
| Aug. 24, 2011 | Dorothy M. Donohue, Investment Company Institute, Washington, District of Columbia |
| Aug. 24, 2011 | Z. Jane Riley, CSCP, Chief Compliance Officer, The Leaders Group, Inc. |
| Aug. 23, 2011 | Oscar S. Hackett, General Counsel, BrightScope, Inc., San Diego, California |
| Aug. 23, 2011 | Peter J. Mougey, President, Public Investors Arbitration Bar Association, Pensacola, Florida |
http://www.sec.gov/comments/sr-finra-2011-035/finra2011035.shtml
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