Comments on FINRA Rulemaking

Notice of Proposed Rule Change to Adopt FINRA Rule 2114 (Recommendations to Customers in OTC Equity Securities) in the Consolidated FINRA Rulebook

Filter comments


Date Sort descending	Letter Type	Commenter Name
Feb. 13, 2009	Public Comment	Philip A. Shaikun, FINRA, Washington, District of Columbia
Jan. 6, 2009	Public Comment	Amal Aly, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Jan. 6, 2009	Public Comment	Dale E. Brown, CAE, President & CEO
Dec. 9, 2008	Public Comment	Ronald C. Long, Director of Regulatory Affairs, Wachovia Securities, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-FINRA-2008-055

Release Number

34-59075