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Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook

(Release No. 34-70612; File No. SR-FINRA-2013-025)


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 12, 2013 Patricia Albrecht, Associate General Counsel, FINRA, Washington, District of Columbia
Nov. 5, 2013 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner
Oct. 28, 2013 David T. Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Oct. 17, 2013 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 14, 2013 Memorandum from the Division of Trading and Markets regarding a November 8, 2013, conference call with representatives of the Investment Company Institute

 

Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook

(Release No. 34-69902; File No. SR-FINRA-2013-025)


Comments have been received from individuals and entities using the following Letter Type A: 560

Submitted Comments

(Click here for meetings with SEC officials)
Oct. 2, 2013 Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia
Aug. 6, 2013 A. Heath Abshure, President, North American Securities Administrators Association(NASAA) and Arkansas Securities Commissioner
Jul. 29, 2013 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Jul. 29, 2013 Scott Cook, Senior Vice President, Chief Compliance Officer, Charles Schwab & Co., Inc.
Jul. 29, 2013 Nina Schloesser McKenna, General Counsel, Cetera Financial Group, Inc.
Jul. 29, 2013 Pamela M. Albanese, Legal Intern, and Christine Lazaro, Esq., Acting Director, St. John's Securities Arbitration Clinic, Queens, New York
Jul. 29, 2013 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Jul. 29, 2013 Scott C. Ilgenfritz, President, Public Investors Arbitration Bar Association, Tampa, Florida
Jul. 29, 2013 Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Jul. 29, 2013 Susanne Denby, CCO, NFP Securities, Inc., Austin, Texas
Jul. 29, 2013 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, St. Louis, Missouri
Jul. 29, 2013 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Jul. 29, 2013 Brian P. Sweeney, Law Office of Brian P. Sweeney, Indianapolis, Indiana
Jul. 29, 2013 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Jul. 25, 2013 J.S. Brandenburger
Jul. 25, 2013 Steve Putnam
Jul. 21, 2013 Norman B. Arnoff, Esq.
Jul. 12, 2013 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Aug. 29, 2013 Memorandum from the Division of Trading and Markets regarding an August 5, 2013, conference call with representatives of MSRB

 

http://www.sec.gov/comments/sr-finra-2013-025/finra2013025.shtml

Modified: 10/16/2014