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 Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities

(Release No. 34-72626; File No. SR-FINRA-2014-006)


Sep. 16, 2014 Matthew E. Vitek, Associate General Counsel, FINRA, Washington, District of Columbia
Aug. 22, 2014 Andrea Seidt, President, North American Securities Administrators Association, Inc. (NASAA), and Commissioner, Ohio Securities Division
Aug. 12, 2014 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Aug. 12, 2014 Daniel R. Gilbert, Chief Investment & Operating Officer, NorthStar Asset Management Group Inc.
Aug. 12, 2014 Frederick P. Baerenz, President & CEO, AOG Wealth Management
Aug. 12, 2014 Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT)
Jul. 28, 2014 Mark Goldberg, Chairman, Investment Program Association

 

Notice of Filing of Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities

(Release No. 34-71545; File No. SR-FINRA-2014-006)


Submitted Comments

(Click here for meetings with SEC officials)
Jul. 15, 2014 Peter Peters
Jul. 11, 2014 Matthew E. Vitek, Associate General Counsel, FINRA
Jun. 26, 2014 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Jun. 26, 2014 Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA
Jun. 26, 2014 Mark Kosanke, President, Real Estate Investment Securities Association (REISA)
Jun. 25, 2014 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA)
Jun. 24, 2014 Kenneth Mills
Jun. 19, 2014 James S. Wrona, Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
May 16, 2014 Matthew E. Vitek, Assistant General Counsel, Financial Industry Regulatory Authority, Inc.
Mar. 12, 2014 Mark Kosanke, President, Real Estate Investment Securities Association
Mar. 12, 2014 Martel Day, Principal, NLR Advisory Services, LLC, Atlanta, Georgia
Mar. 12, 2014 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Mar. 12, 2014 Mark Goldberg, Chairman, Investment Program Association
Mar. 12, 2014 Kirk A. Montgomery, Head of Regulatory Affairs, CNL Financial Group
Mar. 12, 2014 Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT)
Mar. 12, 2014 David Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Mar. 12, 2014 Dechert LLP
Mar. 12, 2014 Jacob Frydman, Chairman & CEO, United Realty Trust Incorporated, New York, New York
Mar. 12, 2014 Steven Morrison, Associate Counsel, LPL Financial LLC
Mar. 12, 2014 Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association (SIFMA)
Mar. 11, 2014 Scott Ilgenfritz, Immediate Past-President, Public Investors Arbitration Bar Association (PIABA), Tampa, Florida
Feb. 28, 2014 Michael Crimmins, Chief Executive Officer/Managing Director, KBS Capital Advisors LLC
Feb. 28, 2014 Jeff Johnson, Chief Executive Officer, Dividend Capital Diversified Property Fund Inc.
Feb. 14, 2014 Steven A. Wechsler, President and CEO, National Association of Real Estate Investment Trusts
Feb. 11, 2014 Mark Kosanke, President, Real Estate Investment Securities Association
Feb. 5, 2014 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Feb. 5, 2014 Mark Goldberg, Chairman, Investment Program Association

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Jun. 19, 2014 Memorandum from the Division of Trading and Markets regarding a June 19, 2014, letter from FINRA
Apr. 9, 2014 Memorandum from the Division of Trading and Markets regarding an April 2, 2014, meeting with the Investment Program Association

 

http://www.sec.gov/comments/sr-finra-2014-006/finra2014006.shtml

Modified: 09/18/2014