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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)

(Release No. 34-69178; File No. SR-FINRA-2013-018)


Aug. 1, 2013 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
Jun. 17, 2013 Erika L. Lazar, FINRA, Washington, District of Columbia
Apr. 15, 2013 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Apr. 15, 2013 Jason Doss, Executive Vice-President, PIABA, Atlanta, Georgia
Apr. 15, 2013 Jenice L. Malecki, Malecki Law, New York, New York
Apr. 15, 2013 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Apr. 15, 2013 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA

 

 

 

http://www.sec.gov/comments/sr-finra-2013-018/finra2013018.shtml

Modified: 10/16/2014