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 a Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)

(Release No. 34-72444; File No. SR-FINRA-2014-028)


Sep. 7, 2014 Suzanne Shatto
Jul. 17, 2014 Holly H. Smith, Sutherland Asbill & Brennan LLP, on behalf of The Committee of Annuity Insurers
Jul. 17, 2014 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC

 

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2014-025/finra2014025.shtml

Modified: 10/16/2014