Comments on Amendments to Financial Responsibility Rules for Broker-Dealers

Filter comments

Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-55431 Memorandum from the Office of the Acting Chairman regarding a March 8, 2017, meeting with representatives of Federated Investors, Inc. and Pickard, Djinis and Pisarri LLP
Public Comment 34-55431 Lee A. Pickard, Pickard Djinis and Pisarri LLP
Public Comment 34-55431 Scott E. Shjefte, Brooklyn Park, Minnesota
Public Comment 34-55431 Robert Fournier, Barstow, California
Public Comment 34-55431 Anonymous
Public Comment 34-55431 Marquis Wilkins
Public Comment 34-55431 Percy R. Moorman, Esquire, Washington, District of Columbia
Additional Files:
Public Comment 34-55431 Eric Gamble, Ph.D., College Educator, Charlotte, North Carolina
Public Comment 34-55431 Paul L. Matecki, Senior Vice President, General Counsel, Raymond James Financial, Inc.
Public Comment 34-55431 Rick Louderbough, Albuquerque, New Mexico
Public Comment 34-55431 Robert LaPlante, M.P.A., Seacrest, Florida
Public Comment 34-55431 Jeff S. Clark, Saint Lucie West, Florida
Meeting with SEC Officials 34-55431 Memorandum from the Division of Trading and Markets regarding an September 17, 2012, meeting with a representative of National Investment Banking Association ("NIBA"), the Real Estate Investment Securities Association ("REISA"), the National Due Diligence Alliance ("TNDDA"), and the Financial Securities Exchange ("FSX")
Public Comment 34-55431 Gene L. Finn, Ph.D., Baltimore, Maryland
Public Comment 34-55431 Mark Irwin, Rockville, Maryland
Public Comment 34-55431 Echeal R. Sigan, Plougasnou, France
Public Comment 34-55431 Gene Finn
Public Comment 34-55431 David Waddell, Arizona
Public Comment 34-55431 Gene L. Finn
Public Comment 34-55431 The Board of Directors of the National Investment Banking Association
Public Comment 34-55431 Cindy Walsh
Public Comment 34-55431 Gene L. Finn, Baltimore, Maryland
Public Comment 34-55431 Steve M. Brewer, Sr., ASG Securities, LLC, Houston, Texas
Public Comment 34-55431 Colin W. McKechnie, Managing Director, JPMorgan Chase Bank, N. A.
Public Comment 34-55431 Denise Dolphin, Rhode Island
Public Comment 34-55431 James T. McHale, Global Head of Compliance, E*TRADE Financial Corporation
Public Comment 34-55431 Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, Securities Industry and Financial Markets Association
Public Comment 34-55431 Ryan K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, on behalf of the Public Investors Arbitration Bar Association
Public Comment 34-55431 Sarah A. Miller, Chief Executive Officer, Institute of International Bankers
Public Comment 34-55431 William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-08-07
Release Number
34-55431
34-55431
How to submit comments