Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183

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Date Received
Date Letter Type Commenter Name
Public Comment Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Dale E. Brown, President and CEO, Financial Services Institute, Inc.
Public Comment David E. Stone, Esq., Vice President & Associate General Counsel, Charles Schwab & Co., Inc.
Public Comment Heather Traeger, Assistant Counsel, Investment Company Institute
Public Comment Heidi Stam, Managing Director and General Counsel, Vanguard
Public Comment MaryAnn Lamendola, Chief Compliance Officer, Chase Investment Services Corporation
Public Comment Michael P. DeGeorge, General Counsel, NAVA
Public Comment Stuart J. Kaswell, Partner, Dechert LLP
Public Comment Sutherland Asbill & Brennan LLP
Public Comment Darrell Braman, Vice President and Associate Legal Counsel and Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price Investment Services Inc.
Public Comment Barbara Gill, Deputy Director of Regulatory Affairs, Stifel, Nicolaus & Company, Incorporated
Public Comment Douglas A. Wright, CCO, Bedminster, New Jersey
Public Comment Jeremiah O'Connell

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2007-040
Release Number
34-57050
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