SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


Comments on FINRA Rulemaking

Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding

(Release No. 34-72196; File No. SR-FINRA-2014-005)


Aug. 14, 2014 Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution, Inc., Washington, District of Columbia
Jul. 2, 2014 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York
Jun. 27, 2014 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner, Washington, District of Columbia
Jun. 26, 2014 Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey
Jun. 26, 2014 Ellen Liang, Student Intern; Elissa Germaine, Supervising Attorney; and Jill Gross, Director; Pace Investor Rights Clinic, White Plains, New York
Jun. 26, 2014 Jason Doss, President, PIABA, Norman, Oklahoma
Jun. 25, 2014 Guillermo Gleizer, Esq., New York, New York
Jun. 20, 2014 Nicole G. Iannarone, Assistant Clinical Professor, and Patricia Uceda, Student Intern, Investor Advocacy Clinic, Georgia State University College of Law
Jun. 9, 2014 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey

Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding

(Release No. 34-71534; File No. SR-FINRA-2014-005)


May 20, 2014 Jenice L. Malecki, Malecki Law
May 19, 2014 Mignon McLemore, Assistant Chief Counsel, Financial Industry Regulatory Authority, Inc. Dispute Resolution, Washington, District of Columbia
Mar. 12, 2014 Richard P. Ryder, Esquire, President, Securities Arbitration Commentator, Inc., Maplewood, Nebraska
Mar. 12, 2014 Ryan Jennings, Christian Corkery, and Daniel Coleman, Legal Interns, St. John's University School of Law Securities Arbitration Clinic, Queens, New York
Mar. 12, 2014 Elissa Germaine, Supervising Attorney, and Michelle N. Robinson, Student Intern, Pace Investor Rights Clinic, Pace Law School, White Plains, New York
Mar. 11, 2014 Nicole G. Iannarone, Esq., Assistant Clinical Professor, Georgia State University College of Law Investor Advocacy Clinic, Atlanta, Georgia
Mar. 11, 2014 William D. Nelson, Partner, Lewis Roca Rothgerber LLP
Mar. 11, 2014 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Mar. 5, 2014 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Mar. 4, 2014 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York
Feb. 28, 2014 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
Feb. 6, 2014 Gary Berne, Stoll Berne

 

http://www.sec.gov/comments/sr-finra-2014-005/finra2014005.shtml

Modified: 08/15/2014