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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)
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(Click here for meetings with SEC officials)
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| 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)
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| 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)
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| Comments have been received from individuals and entities using the following Letter Type A: 560 |
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(Click here for meetings with SEC officials)
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| 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)
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| 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
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