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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)

(Release No. 34-71959; File No. SR-FINRA-2014-020)


Jul. 18, 2014 Victoria L. Crane, Associate General Counsel, FINRA
May 16, 2014 Harry A. Jacobowitz, Esquire, Database Manager, Securities Arbitration Commentator, Inc.
May 15, 2014 Ronald M. Amato, Esq., Amato Law Firm, LLC, Chicago, Illinois
May 14, 2014 David T. Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute
May 14, 2014 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner , Washington, District of Columbia
May 14, 2014 Jill Gross, Director; Elissa Germaine, Supervising Attorney; and Michelle N. Robinson, Student Intern, Pace Investor Rights Clinic, Pace Law School, White Plains, New York
May 14, 2014 Kevin M. Carroll, Managing Director and Associate General Counsel, SIFMA
May 13, 2014 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
May 13, 2014 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
May 7, 2014 Barry D. Estell, Esq., Mission, Kansas
May 6, 2014 Leonard Steiner, Steiner & Libo, Beverly Hills, California
May 5, 2014 Richard P. Ryder, Esq., President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey
May 5, 2014 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
May 1, 2014 Philip M. Aidikoff, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
May 1, 2014 Nicole G. Iannarone, Esq., Assistant Clinical Professor; Tim Guilmette and Nataliya Obikhod, Student Interns, Georgia State University College of Law, Atlanta, Georgia
Apr. 21, 2014 Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York

 

http://www.sec.gov/comments/sr-finra-2014-020/finra2014020.shtml

Modified: 07/18/2014