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Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)

(Release No. 34-70957; File No. SR-FINRA-2013-037)


Dec. 20, 2013 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association

 

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5131

(Release No. 34-70312; File No. SR-FINRA-2013-037)


Nov. 22, 2013 Racquel Russell, Financial Industry Regulatory Authority, Washington, District of Columbia
Oct. 1, 2013 William G. Mulligan, CEO, Cordium US
Sep. 30, 2013 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association

 

http://www.sec.gov/comments/sr-finra-2013-037/finra2013037.shtml

Modified: 10/16/2014