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Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

(Release No. 34-66819; File No. SR-FINRA-2011-058)


Sep. 13, 2013 FINRA
Jun. 4, 2012 Brant K. Brown, Associate General Counsel, FINRA
Jun. 1, 2012 Memorandum from the Division of Risk, Strategy and Financial Innovation
May 7, 2012 Daniel Zinn, General Counsel, OTC Markets Group Inc.
May 7, 2012 Michael T. Corrao, Managing Director, Knight Capital Group, Inc.

 

Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)

(Release No. 34-65568; File No. SR-FINRA-2011-058)


Feb. 14, 2012 Daniel Zinn, General Counsel, OTC Markets Group Inc.
Jan. 13, 2012 Michael T. Corrao, Managing Director, Knight Capital Group, Inc.
Dec. 29, 2011 Daniel Zinn, General Counsel, OTC Markets Group Inc.
Dec. 23, 2011 Stephanie M. Dumont, Senior Vice President and Director of Capital Markets Policy, Financial Industry Regulatory Authority, Washington, District of Columbia
Nov. 30, 2011 Marc Menchel, FINRA
Nov. 18, 2011 R. Cromwell Coulson, President & CEO, OTC Markets
Nov. 16, 2011 Michael T. Corrao, Managing Director, Knight Capital Group, Inc.
Nov. 10, 2011 Daniel Zinn, General Counsel, OTC Markets Group Inc.
Oct. 21, 2011 Naphtali M. Hamlet, Seattle, Washington
Oct. 20, 2011 Suzanne H. Shatto, Seattle, Washington

 

http://www.sec.gov/comments/sr-finra-2011-058/finra2011058.shtml

Modified: 09/19/2013