SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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]


Apr. 25, 2012 John Polanin and Claire Santaniello Co-Chairs, Compliance and Regulatory Policy Committee 2012, SIFMA

 

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]


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]


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]


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

Modified: 04/26/2012