Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material

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Date Received
Date Letter Type Commenter Name
Public Comment Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Public Comment Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute
Public Comment Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-020
Release Number
34-57010
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