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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements

(Release No. 34-71486; File No. SR-FINRA-2014-004)

Submitted Comments

Mar. 31, 2014 Kathryn M. Moore, Associate General Counsel, FINRA, Washington, District of Columbia
Mar. 4, 2014 Stephen E. Roth and Susan S. Krawczyk, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers, Washington, District of Columbia

Meetings with SEC Officials

Mar. 27, 2014 Memorandum from the Division of Trading and Markets regarding a March 26, 2014 conference call with representatives of the Committee of Annuity Insurers


Modified: 04/04/2014