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Comments on FINRA Rulemaking
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations under FINRA Rule 5123 (Private Placements of Securities)
(Release No. 34-69843; File No. SR-FINRA-2013-026)
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Aug. 19, 2013 | FINRA, Washington, District of Columbia |
Aug. 2, 2013 | Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
Jul. 22, 2013 | Scott C. Ilgenfritz, President, Public Investors Arbitration Bar Association, Tampa, Florida |
Jul. 22, 2013 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
Jul. 3, 2013 | Sullivan & Cromwell LLP |
http://www.sec.gov/comments/sr-finra-2013-026/finra2013026.shtml
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