Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research Report

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Date Received
Date Letter Type Commenter Name
Public Comment Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA
Public Comment Stephanie R. Nicholas, WilmerHale, Washington, D.C.
Public Comment Jill Ostergaard, Co-Chair, SIFMA Self Regulation and Supervisory Practices Committee and Christopher J. Mahon, Co-Chair, SIFMA Self Regulation and Supervisory Practices Committee

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-010
Release Number
34-56481
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