David Koll
April 17, 2009
Florence Harmon
Deputy Secretary, Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Florence Harmon:
I have been an insurance agent representing Mutual of Omaha for almost 35 years. I have concerns regarding certain aspects of FINRA's proposal to revise Forms U4 and U5. I'm sure that parts of the proposal are necessary, but my concern is with revisions to Forms U4 and U5 that would require the reporting of allegations of sales practice violations made against a representative that are contained in the body of an arbitration claim or lawsuit in which that person is not named as a party. Thank you very much.
Sincerely,
David M. Koll