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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service
(Release No. 34-56373; File No. SR-FINRA-2007-005)
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| Oct. 17, 2007 | R. Clements, Charlotte, North Carolina |
| Oct. 4, 2007 | Kristie Thompson, Group Leader, Customer Account Transfer, Edward D. Jones & Co., LP |
| Oct. 4, 2007 | Ron Marino, President, Customer Account Transfer Division, Securities Industry and Financial Markets Association |
| Oct. 2, 2007 | Deirdre B. Koerick, CCO, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania |
http://www.sec.gov/comments/sr-finra-2007-005/finra2007005.shtml
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