SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


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

(Release No. 34-56480; File No. SR-FINRA-2007-011)

Jan. 30, 2008 William D. Lyons, Director of Equity Research, and Arkadiy Neyman, Chief Compliance Officer, Westminster Securities Corporation, New York, New York
Jan. 16, 2008 Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA
Oct. 19, 2007 Stephanie R. Nicholas, WilmerHale, Washington, D.C.
Oct. 17, 2007 Jill Ostergaard and Christopher J. Mahon, Co-Chairs,Self Regulation and Supervisory Practices Committee, Securities Industry and Financial Markets Association
Oct. 16, 2007 Stephen R. Biggar, Global Director of Equity Research, Standard & Poor's Equity Research Services
Oct. 12, 2007 Morris N. Simkin, Esq., Katten Muchin Rosenman LLP

Modified: 01/31/2008