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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
(Release No. 34-73210; File No. SR-FINRA-2014-037)
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| Dec. 8, 2014 | Kosha K. Dalal, Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority, Washington, District of Columbia |
| Nov. 5, 2014 | Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association |
| Oct. 22, 2014 | Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC |
| Oct. 22, 2014 | Paul J. Tolley, Senior Vice President, Chief Compliance Officer, Commonwealth Financial Network |
| Oct. 22, 2014 | William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Commissioner |
| Oct. 22, 2014 | Kevin Zambrowicz, Associate General Counsel & Managing Director, SIFMA |
| Oct. 21, 2014 | Peter J. Chepucavage, Esq., GC Plexus Consulting Group, Washington, District of Columbia |
| Oct. 17, 2014 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
http://www.sec.gov/comments/sr-finra-2014-037/finra2014037.shtml
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