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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)

(Release No. 34-71786; File No. SR-FINRA-2014-010)


Submitted Comments

(Click here for meetings with SEC officials)
Comments have been received from individuals and entities using the following Letter Type A: 151
Apr. 24, 2014 Peggy L. Ho, Chief of Staff Legal & Government Relations, LPL Financial LLC
Apr. 22, 2014 Lance McGinnis
Apr. 18, 2014 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Apr. 18, 2014 Thomas Anderson, Chief Compliance Officer, Cambridge Investment Research, Inc.
Apr. 18, 2014 Brian S. Hamburger, President and CEO, and Daniel A. Bernstein, Director of Research + Development, MarketCounsel, LLC, Englewood, New Jersey
Apr. 18, 2014 Eric Arnold and Cliff Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Apr. 18, 2014 Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors (NAIFA)
Apr. 18, 2014 Kathleen A. Dedenbach, Vice President & Group Counsel, Ameriprise Financial Services, Inc.
Apr. 17, 2014 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Apr. 17, 2014 Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Apr. 17, 2014 Jesse D. Hill, Principal, Government and Regulatory Relations, Edward Jones
Apr. 17, 2014 Ronald J. Kruszewski, Chairman, President and Chief Executive Officer, Stifel Nicolaus & Co. Inc.
Apr. 17, 2014 Nina S. McKenna, General Counsel, Cetera Financial Group, Inc., El Segundo, California
Apr. 17, 2014 Anne Cooney, General Counsel, Morgan Stanley Wealth Management
Apr. 17, 2014 Andrew Daniels, Managing Principal, Business Development, Commonwealth Financial Network, Waltham, Massachusetts
Apr. 17, 2014 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, St. Louis, Missouri
Apr. 17, 2014 Brent H. Taylor, General Counsel, Americas and Wealth Management Americas, UBS Financial Services Inc.
Apr. 17, 2014 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Apr. 17, 2014 Richard Foster, Vice President and Senior Counsel for Legal and Regulatory Affairs, Financial Services Roundtable, Washington, District of Columbia
Apr. 17, 2014 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Apr. 17, 2014 Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA
Apr. 17, 2014 Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network
Apr. 16, 2014 Maria J. Seedner, Corporate Counsel, CUSO Financial Services, L.P.
Apr. 15, 2014 Ann Doty-Mitchell
Apr. 14, 2014 Rick Dahl, SVP/CCO, Sorrento Pacific Financial
Apr. 11, 2014 Michael Finnan
Apr. 8, 2014 Bradford Tharp
Apr. 7, 2014 Vincent Evans, President, The Linnwood Group, LLC
Apr. 7, 2014 David L. Darner
Apr. 7, 2014 Robert Studniarz
Apr. 7, 2014 Timothy Sullivan, Registered Principal, Monarch Wealth and Retirement
Apr. 7, 2014 Joseph C. Peiffer, Executive Vice-President/President-Elect, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
Mar. 31, 2014 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York

Meetings with SEC Officials

(
Click here for submitted comments from the public)
May 1, 2014 Memorandum from the Division of Trading and Markets regarding a May 1, 2014, meeting with representatives of Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers

 

http://www.sec.gov/comments/sr-finra-2014-010/finra2014010.shtml

Modified: 10/16/2014