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

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Date Received
Date Letter Type Commenter Name
Public Comment R. Clements, Charlotte, North Carolina
Public Comment Kristie Thompson, Group Leader, Customer Account Transfer, Edward D. Jones & Co., LP
Public Comment Ron Marino, President, Customer Account Transfer Division, Securities Industry and Financial Markets Association
Public Comment Deirdre B. Koerick, CCO, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-005
Release Number
34-56373
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