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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)

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




Modified: 08/20/2013