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Comments on FINRA Rulemaking
Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
[Release No. 34-67157; File No. SR-FINRA-2011-057]
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 Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook
[Release No. 34-66203; File No. SR-FINRA-2011-057]
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| May 18, 2012 | Stan Macel, Assistant General Counsel, FINRA |
| Apr. 27, 2012 | G. Philip Rutledge, Lemoyne, Pennsylvania |
| Apr. 23, 2012 | Jack E. Herstein, President, North American Securities Administrators Association, Inc. |
| Mar. 12, 2012 | Stan Macel, Financial Industry Regulatory Authority, Washington, District of Columbia |
| Feb. 27, 2012 | William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Feb. 27, 2012 | Daniel Oschin, President, Real Estate Investment Securities Association (REISA), Indianapolis, Indiana |
| Feb. 27, 2012 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Feb. 27, 2012 | Alicia M. Cooney, CFA, Managing Director, Monument Group, Inc., Boston, Massachusetts |
| Feb. 27, 2012 | National Investment Banking Association |
| Feb. 26, 2012 | Wesley A. Brown, Managing Director and Chief Compliance Officer, St. Charles Capital, LLC |
| Feb. 24, 2012 | Robert E. Buckholtz, Chair, Committee on Securities Regulation, New York City Bar Association |
| Feb. 23, 2012 | Sullivan & Cromwell LLP |
| Feb. 1, 2012 | Douglas Martin, San Francisco, California
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Notice of Filing of Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
[Release No. 34-65585; File No. SR-FINRA-2011-057]
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(Click here for meetings with SEC officials)
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| Jan. 19, 2012 | Stan Macel, Assistant General Counsel, Financial Industry Regulatory Authority |
| Jan. 12, 2012 | Alicia M. Cooney, CFA, Monument Group, Inc., Boston, Massachusetts |
| Nov. 28, 2011 | Osamu Watanabe, Deputy General Counsel, Moelis & Company LLC |
| Nov. 17, 2011 | Jack E. Herstein, President, North American Securities Administrators Association, Inc. |
| Nov. 14, 2011 | Richard B. Chess, President, Real Estate Investment Securities Association |
| Nov. 14, 2011 | Ryan K. Bakhtiari, President, Public Investors Arbitration Bar Association |
| Nov. 14, 2011 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Nov. 14, 2011 | Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York |
| Nov. 14, 2011 | Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals |
| Nov. 14, 2011 | Martel Day, Chairman, Investment Program Association |
| Nov. 14, 2011 | Donald S. Weiss, Partner, KL Gates LLP, Chicago, Illinois |
| Nov. 14, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Nov. 14, 2011 | William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Nov. 10, 2011 | Ryan Adams, Legal Intern; Christine Lazaro, Esq.,Supervising Attorney; and Lisa Catalano, Esq., Director; St. John's School of Law Securities Arbitration Clinic, Queens, New York |
| Nov. 10, 2011 | Sullivan & Cromwell LLP |
| Nov. 9, 2011 | Robert E. Buckholz, Chair Committee on Securities Regulation, New York City Bar Association |
| Nov. 9, 2011 | William H. Navin, Executive Vice President and General Counsel, Options Clearing Corporation |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Dec. 14, 2011 | Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of the Managed Funds Association |
http://www.sec.gov/comments/sr-finra-2011-057/finra2011057.shtml
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