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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)

(Release No. 34-70276; File No. SR-FINRA-2013-036)


Submitted Comments

Feb. 24, 2014 Brant K. Brown, Associate General Counsel, FINRA
Jan. 13, 2014 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Jan. 6, 2014 Mary Ann Burns, FIA Principal Traders Group, Washington, District of Columbia
Dec. 23, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Dec. 2, 2013 Brant K. Brown, Associate General Counsel, Financial Industry Regulatory Authority, Inc.
Dec. 2, 2013 Brant K. Brown, Associate General Counsel, Financial Industry Regulatory Authority, Inc.
Oct. 4, 2013 Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Sep. 25, 2013 Manisha Kimmel, Executive Director, Financial Information Forum
Sep. 25, 2013 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Sep. 25, 2013 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Sep. 9, 2013 Anonymous, Washington, District of Columbia

Meetings with SEC Officials

Jan. 22, 2014 Memorandum from the Division of Trading and Markets regarding a January 22, 2014, meeting with representatives of the Futures Industry Association (FIA)

 

http://www.sec.gov/comments/sr-finra-2013-036/finra2013036.shtml

Modified: 10/16/2014