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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules

(Release No. 34-71372; File No. SR-FINRA-2014-003)


Apr. 16, 2014 Kathryn M. Moore, Associate General Counsel, FINRA
Feb. 18, 2014 Sean Davy, Managing Director, Corporate Credit Markets Division, SIFMA
Feb. 10, 2014 Suzanne Rothwell, Managing Member, Rothwell Consulting LLC

 

 

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2014-003/finra2014003.shtml

Modified: 10/16/2014