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Comments on FINRA Rulemaking

Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

(Release No. 34-73277; File No. SR-FINRA-2014-028)


Oct. 20, 2014 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Oct. 10, 2014 John A. Bender, Esq., Seattle, Washington

 

Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

(Release No. 34-72491; File No. SR-FINRA-2014-028)


Comments have been received from individuals and entities using the following Letter Type A: 295
Sep. 30, 2014 Margo A. Hassan, FINRA Dispute Resolution, New York, New York
Aug. 21, 2014 Walter N. Vernon III. Esq.
Aug. 13, 2014 Barry D. Estell, Esq., Mission, Kansas
Jul. 28, 2014 Robert Getman
Jul. 24, 2014 Thomas J. Berthel, CEO, Berthel Fisher Company, Marion, Iowa
Jul. 24, 2014 Gary N. Hardiman
Jul. 24, 2014 Richard P. Ryder, Esq., President, Securities Arbitration Commentator, Inc., Maplewood,, New Jersey
Jul. 24, 2014 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Jul. 24, 2014 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma
Jul. 24, 2014 CJ Croll, Student Intern; Elissa Germaine, Supervising Attorney; and Jill I. Gross, Director; Investor Rights Clinic, Pace Law School
Jul. 24, 2014 Andrea Seidt, President, North American Securities Administrators Association (NASAA), Ohio Securities Commissioner, Washington , District of Columbia
Jul. 24, 2014 Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Jul. 24, 2014 George H. Friedman, Esquire, George H. Friedman Consulting, LLC, Teaneck, New Jersey
Jul. 24, 2014 J. Burton, LeBlanc, President, American Association for Justice
Jul. 23, 2014 Glenn S. Gitomer, McCausland Keen & Buckman, Radnor, Pennsylvania
Jul. 21, 2014 Christopher L. Mass, Los Angeles, California
Jul. 20, 2014 Blossom Nicinski
Jul. 18, 2014 Daniel Bacine, Esquire, Barrack, Rodos & Bacine, Philadelphia, Pennsylvania
Jul. 6, 2014 Richard A. Stephens, Esq., FINRA Public Arbitrator, Los Angeles, California
Jul. 2, 2014 Ryan K. Bakhtiari, Aidikoff, Uhl and Bakhtiari, Beverly Hills, California
Jul. 1, 2014 Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York
Jul. 1, 2014 Philip M. Aidikoff, Esq., Aidikoff, Uhl and Bakhtiari, Beverly Hills, California

 

http://www.sec.gov/comments/sr-finra-2014-028/finra2014028.shtml

Modified: 10/21/2014