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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA

(Release No. 34-66508; File No. SR-FINRA-2012-018)


May 8, 2012 Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia
Mar. 29, 2012 Howard Spindel, Senior Managing Director, Integrated Management Solutions USA LLC
Mar. 29, 2012 Stephen H. Cohen, Partner, Loeb & Loeb LLP
Mar. 29, 2012 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Mar. 14, 2012 Kevin A. Carreno, President, Experts Counsel Inc., St. Petersburg, Florida

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2012-018/finra2012018.shtml

Modified: 05/10/2012