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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck
(Release No. 34-70876; File No. SR-FINRA-2013-048)
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Dec. 13, 2013 | Andrea Seidt, President, North American Securities Administrators Association |
Dec. 11, 2013 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
Dec. 9, 2013 | Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Atlanta, Georgia |
Dec. 9, 2013 | Sneha Parmar and Jeffrey Peters, Student Interns, and Elissa Germaine, Supervising Attorney, Pace Investor Rights Clinic, Pace University School of Law |
http://www.sec.gov/comments/sr-finra-2013-048/finra2013048.shtml
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