Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment William D. Lyons, Director of Equity Research, and Arkadiy Neyman, Chief Compliance Officer, Westminster Securities Corporation, New York, New York
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 and Christopher J. Mahon, Co-Chairs,Self Regulation and Supervisory Practices Committee, Securities Industry and Financial Markets Association
Public Comment Stephen R. Biggar, Global Director of Equity Research, Standard & Poor's Equity Research Services
Public Comment Morris N. Simkin, Esq., Katten Muchin Rosenman LLP

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-011
Release Number
34-56480
How to submit comments