Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research Reports

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Date Received
Date Letter Type Commenter Name
Public Comment Jill Ostergaard and Christopher Mahon, Co-Chairs, Self Regulation and Supervisory Practices Committee, Securities Industry and Financial Markets Association
Public Comment Marian H. Desilets, President, ARM Executive Committee, Charlotte, North Carolina

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-008
Release Number
34-56585
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