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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))

(Release No. 34-70131; File No. SR-FINRA-2013-033)


Sep. 17, 2013 John Frattellone
Sep. 17, 2013 Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Sep. 3, 2013 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute

 

 

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2013-033/finra2013033.shtml

Modified: 10/16/2014