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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5
(Release No. 34-59616.; File No. SR-FINRA-2009-008)
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| Comments have been received from individuals and entities using the following Letter Type A: 770 |
| Comments have been received from individuals and entities using the following Letter Type B: 681 |
| May 5, 2009 | Richard E. Pullano, Associate Vice President and Chief Counsel, Registration and Disclosure, FINRA |
| Apr. 27, 2009 | Doug Richards, Cedar Park, Texas |
| Apr. 22, 2009 | Doria G. Bachenheimer, Vice President, Regulatory Law TIAA-CREF, New York, New York |
| Apr. 21, 2009 | Hattie Evans, Registered Representative, Glenville, Pennsylvania |
| Apr. 21, 2009 | James Rice, Registered Principal, Royal Alliance Associates, Wall, New Jersey |
| Apr. 20, 2009 | Daniel Woodring, Vice President & Chief Compliance Officer, PFS Investments Inc. |
| Apr. 20, 2009 | David Farrell |
| Apr. 20, 2009 | John Still |
| Apr. 18, 2009 | Robert Mabe |
| Apr. 18, 2009 | Scot Bernstein, Law Offices of Scot D. Bernstein, A Professional Corporation, Mather Field, California |
| Apr. 17, 2009 | Jesse Hill, Director of Regulatory Relations, Edward Jones |
| Apr. 17, 2009 | Jenice L. Malecki, Esq., Malecki Law, New York, New York |
| Apr. 17, 2009 | Sutherland Asbill & Brennan LLP |
| Apr. 17, 2009 | Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc. |
| Apr. 17, 2009 | Margie Adams, Director, Deutsche Bank Securities Inc. |
| Apr. 17, 2009 | John R. Tait |
| Apr. 17, 2009 | Rosemary J. Shockman, Shockman Law Office |
| Apr. 17, 2009 | Jessica Vasquez, Willeford Law Firm, New Orleans, Louisiana |
| Apr. 17, 2009 | Stephen Krosschell, Clearwater, Florida |
| Apr. 17, 2009 | Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Banc of America Securities LLC, New York, New York |
| Apr. 17, 2009 | Steven M. Sherman, Law Offices of Steven M. Sherman |
| Apr. 17, 2009 | Lisa M. Roth, National Association of Independent Broker-Dealers, San Diego, California |
| Apr. 17, 2009 | Robert C. Port, Esq., Cohen, Goldstein, Port Gottlieb, LLP, Atlanta, Georgia |
| Apr. 17, 2009 | David M. Koll |
| Apr. 17, 2009 | Geoffrey Boyer, President, Boyer Financial Group |
| Apr. 17, 2009 | Michelle Oroschakoff, Managing Director and Jill Ostergaard ,Managing Director Managing Director, Morgan Stanley |
| Apr. 17, 2009 | Michael P. Corry, President and David J. Stertzer, FLMI, CEO, Association for Advanced Life Underwriting |
| Apr. 17, 2009 | Robert S. Rosenthal, Chief Legal Officer, MML Investors Services, Inc. |
| Apr. 17, 2009 | Barry D. Estell, Esq., Mission, Kansas |
| Apr. 17, 2009 | Laura Lang, IBSI |
| Apr. 17, 2009 | Christine Lazaro, Supervising Attorney, Securites Arbitration Clinic, St. John's University School of Law, Queens, New York |
| Apr. 17, 2009 | Colin S. Casey |
| Apr. 17, 2009 | Eileen Arcuri, UBS Financial Services Inc., Weehawken, New Jersey |
| Apr. 17, 2009 | W. Scott Greco, Greco & Greco, P.C. |
| Apr. 17, 2009 | Amal Aly, Managing Director and Association General Counsel, SIFMA |
| Apr. 17, 2009 | Dale E. Brown, President & CEO, Financial Services Institute, Inc. |
| Apr. 17, 2009 | Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors |
| Apr. 17, 2009 | William S. Shepherd, Managing Partner, Shepherd, Smith & Edwards, LLP |
| Apr. 17, 2009 | Jonathan W. Evans, Esq., Claimants' Attorney, Studio City, California |
| Apr. 17, 2009 | Charles V. Senatore, Senior Vice President, Chief Compliance Officer, Fidelity Investments |
| Apr. 17, 2009 | John S. Burke, Esq., Attorney, Higgins Burke, P.C., St. Charles, Illinois |
| Apr. 17, 2009 | Nancy L.H. Boyd, Director of Compliance, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania |
| Apr. 17, 2009 | Carl J. Carlson, Attorney, Seattle, Washington |
| Apr. 17, 2009 | Kert Martin |
| Apr. 17, 2009 | Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors |
| Apr. 17, 2009 | Robert K. Savage, Esq., The Savage Law Firm, P.A. |
| Apr. 17, 2009 | Fred Joseph, President, North American Securities Administrators Association |
| Apr. 17, 2009 | Peter J. Mougey, Esq. and Kristian P. Kraszewski, Esq. |
| Apr. 17, 2009 | William A. Jacobson, Esq., Associate Clinical Professor of Law, Director, Cornell Securities Law Clinic; Brian Kwang-Soo Youn, Cornell Law School '09; Kanwardeep Singh, Cornell Law School LLM '09; and Qing Wang, Cornell Law School' I0 |
| Apr. 17, 2009 | David Harrison, Law Offices of David Harrison |
| Apr. 17, 2009 | Jan Graham, Graham Law Offices, Salt Lake City, Utah |
| Apr. 17, 2009 | John W. Curtis, General Counsel Global Compliance, Goldman, Sachs Co., New York, New York |
| Apr. 17, 2009 | Evan J. Charkes, Managing Director and Deputy General Counsel, Citigroup Global Markets, Inc. |
| Apr. 17, 2009 | Nicholas J. Taldone, Attorney, Clearwater, Florida |
| Apr. 17, 2009 | David Shrom, Shrom Associates/FSC Securities Corporation |
| Apr. 17, 2009 | Jeffrey Kruske, Law Office of Jeffrey S. Kruske, P.A., Overland Park, Kansas |
| Apr. 17, 2009 | Richard A. Lewins, Attorney Burg Simpson Eldredge Hersh Jardine PC, Dallas, Texas |
| Apr. 17, 2009 | Stuart D. Meissner, Esq., Stuart D. Meissner LLC, New York, New York |
| Apr. 17, 2009 | Richard G. Wallace, Foley Lardner LLP, Washington, District of Columbia |
| Apr. 17, 2009 | Charles Maurice |
| Apr. 17, 2009 | James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc. |
| Apr. 17, 2009 | Justin Slattery |
| Apr. 17, 2009 | Diane Anderson, Registrations Manager, Raymond James & Associates, Inc. |
| Apr. 17, 2009 | Al Van Kampen, Attorney at Law, Seattle, Washington |
| Apr. 17, 2009 | Tim Canning, Law Offices of Timothy A. Canning, Arcata, California |
| Apr. 16, 2009 | Scott R. Shewan, Born, Pape & Shewan, LLP, Clovis, California |
| Apr. 16, 2009 | Adam J. Gana, Napoli Bern Ripka, LLP, New York, New York |
| Apr. 16, 2009 | William J. Gladden, Securities Arbitration Attorney, Savannah, Georgia |
| Apr. 16, 2009 | John M. Ivan, Senior Vice President and General Counsel, Janney Montgomery Scott LLC |
| Apr. 16, 2009 | Scott L. Silver, Esq., Managing Partner, Blum & Silver, LLP, Coral Springs, Florida |
| Apr. 16, 2009 | Mario Dalla Valle, Richmond, Virginia |
| Apr. 16, 2009 | Mitchell S. Ostwald, Esq., Law Offices of Mitchell S. Ostwald, Sacramento, California |
| Apr. 16, 2009 | Janice K. Nielsen |
| Apr. 16, 2009 | Kevin Vasilik |
| Apr. 16, 2009 | Culpepper Webb |
| Apr. 16, 2009 | Scott C. Ilgenfritz, Esq., Johnson, Pope, Bokor, Ruppel Burns, LLP, Tampa, Florida |
| Apr. 16, 2009 | Roscoe O. Orton, CLU, President, Eastern Idaho Association of Insurance and Financial Advisors |
| Apr. 16, 2009 | Gerald Calley |
| Apr. 16, 2009 | Merrell Dean, Registered Representative, Ameritas Investment Corp. |
| Apr. 16, 2009 | Sharon Herrick |
| Apr. 16, 2009 | James D. Keeney, Esq., James D. Keeney, P.A. |
| Apr. 16, 2009 | Theodore M. Davis, Esq., The New York Irish Center Building |
| Apr. 16, 2009 | Steven W. Stambaugh, Registered Principal, LPL Financial |
| Apr. 16, 2009 | Ronald M. Amato, Shaheen, Novoselsky, Staat, Filipowski Eccleston, PC, Chicago, Illinois |
| Apr. 16, 2009 | Robert S. Banks, Jr., Banks Law Office, P.C., Portland, Oregon |
| Apr. 16, 2009 | Laurence S. Schultz, Esquire, Founding Shareholder, Driggers, Schultz and Herbst, Troy, Michigan |
| Apr. 16, 2009 | Charles M. Thompson, Attorney at Law |
| Apr. 16, 2009 | Henry D. ("Hank") Fellows, Jr., Esq., Fellows LaBriola LLP |
| Apr. 16, 2009 | Gwendolyn L. Wood |
| Apr. 16, 2009 | Dayton P. Haigney, III, Attorney, New York, New York |
| Apr. 16, 2009 | William B. (Blake) Woodard |
| Apr. 16, 2009 | James A. Dunlap Jr. & Associates LLC |
| Apr. 16, 2009 | R. Graham Self |
| Apr. 16, 2009 | Thomas F. Taylor, CLU ChFC |
| Apr. 16, 2009 | Linda L. Paulsen |
| Apr. 16, 2009 | Alin L. Rosca, Attorney at law, John S. Chapman & Associates, LLC |
| Apr. 16, 2009 | Daniel Stockemer |
| Apr. 16, 2009 | Michael Kidd |
| Apr. 16, 2009 | Rick Theobald |
| Apr. 16, 2009 | Joseph W. Guess |
| Apr. 16, 2009 | Jay Mccluskey |
| Apr. 16, 2009 | Maria Buss |
| Apr. 16, 2009 | Mark J. Miller |
| Apr. 16, 2009 | Nicola Young |
| Apr. 16, 2009 | Nancy A. Dorsett |
| Apr. 16, 2009 | Richard J. Cooney |
| Apr. 16, 2009 | Charlene Logan |
| Apr. 16, 2009 | Anthony P. Ladas |
| Apr. 16, 2009 | J. P. Hildebrand |
| Apr. 16, 2009 | Joseph Kosek |
| Apr. 16, 2009 | Bert Reames |
| Apr. 16, 2009 | Paul Dougherty |
| Apr. 16, 2009 | Tim Chisholm |
| Apr. 16, 2009 | Steven Van Scoik |
| Apr. 16, 2009 | Blair M. Broussard |
| Apr. 16, 2009 | Michael Kish |
| Apr. 16, 2009 | John M. Ivan, Senior Vice President and General Counsel, Janney Montgomery Scott LLC |
| Apr. 15, 2009 | Nancy Kay, CCO, Wall Street Financial Group |
| Apr. 15, 2009 | Lance B. Kolbet, RHU, LUTF, President, University Financial Group, Pocatello, Idaho |
| Apr. 15, 2009 | Frederick T. Greene, CIMA, Senior V.P., Portfolio Manager, Woodforest Financial Services, Inc. |
| Apr. 15, 2009 | R. Drew Kistler, Vice Chairman & Chief Compliance Officer, Hefren-Tillotson, Inc. |
| Apr. 15, 2009 | Sarah McCafferty, Vice President and Chief Compliance Officer, T. Rowe Price |
| Apr. 15, 2009 | James Schuberth |
| Apr. 15, 2009 | Marian H. Desilets, President, Association of Registration Management |
| Apr. 15, 2009 | Jerry R. Neill CLU, ChFC |
| Apr. 15, 2009 | Steve Klein, Chief Compliance Officer, Farmers Financial Solutions, LLC |
| Apr. 15, 2009 | Raymond Kojetin |
| Apr. 15, 2009 | Harold A. Schwartz |
| Apr. 15, 2009 | Steven P. Brooks |
| Apr. 15, 2009 | Roger Gainer |
| Apr. 15, 2009 | Gary R. Young |
| Apr. 15, 2009 | Cynthia Jo Johns |
| Apr. 15, 2009 | James A. White |
| Apr. 15, 2009 | Stephen Coon |
| Apr. 15, 2009 | Jan Carpenter |
| Apr. 15, 2009 | Richard N. Preston |
| Apr. 15, 2009 | Robert T. MacDonald |
| Apr. 15, 2009 | Courtney L. Livingston |
| Apr. 15, 2009 | Douglas Olawsky |
| Apr. 15, 2009 | Lori Susalla Oancea |
| Apr. 15, 2009 | Laura Drake |
| Apr. 15, 2009 | Terry Lewis |
| Apr. 15, 2009 | Shaun Seedhouse |
| Apr. 15, 2009 | Norajane McIntyre |
| Apr. 15, 2009 | Ralph Barringer |
| Apr. 15, 2009 | Bradley J. Green |
| Apr. 15, 2009 | Tom Schmidt |
| Apr. 15, 2009 | Lawrence A. Wanek, CFP, ChFC, LUTCF |
| Apr. 15, 2009 | David Moffet |
| Apr. 15, 2009 | Christopher Taggart |
| Apr. 15, 2009 | Stephen D. Mann |
| Apr. 15, 2009 | Jill Clark |
| Apr. 15, 2009 | Michael J. Frailey, LUTCF |
| Apr. 15, 2009 | Stephanie L. Brown, Managing Director, General Counsel, LPL Financial Corporation |
| Apr. 14, 2009 | Gregory C. Sernett, Vice President, Chief Compliance Officer, Ameritas Investment Corp. |
| Apr. 14, 2009 | Jeffrey A. Feldman, Law Offices of Jeffrey A. Feldman, San Francisco, California |
| Apr. 14, 2009 | Seth E. Lipner, Prof. of Law, Zicklin School of Business, Baruch College, CUNY, Member, Deutsch Lipner (Garden City, N.Y.), New York, New York |
| Apr. 14, 2009 | Philip M. Aidikoff, Esq., Attorney, Beverly Hills, California |
| Apr. 14, 2009 | William P. Torngren, Attorney, Sacramento, California |
| Apr. 14, 2009 | Stephen P. Meyer, Esquire, Charleston, West Virginia |
| Apr. 14, 2009 | John Miller, Attorney, Swanson Midgley, LLC, Kansas City, Missouri |
| Apr. 13, 2009 | Keith Miller |
| Apr. 13, 2009 | Ronald L. King, Chief Compliance Officer, Capital Investment Companies |
| Apr. 13, 2009 | Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals, Inc. |
| Apr. 13, 2009 | Bradley R. Stark, P.A. |
| Apr. 13, 2009 | Steve A. Buchwalter, Esq., Attorney, Encino, California |
| Apr. 13, 2009 | Leonard Steiner, Lawyer, Beverly Hills, California |
| Apr. 13, 2009 | Brent Johnson, President, Financial Synergies, Inc. |
| Apr. 13, 2009 | Pam Fritz, Chief Compliance Officer, MWA Financial Services, Inc. |
| Apr. 10, 2009 | Hugh Nichols, Registered Representative, Mutual Service Corporation |
| Apr. 10, 2009 | Alan Freedman, Financial Advisor, Geronimo Financial, LLC |
| Apr. 10, 2009 | Brian N. Smiley, President, Public Investors Arbitration Bar Association |
| Apr. 10, 2009 | Ken Loebel, Vice President, BankFinancial |
| Apr. 10, 2009 | Suzanne Seay, CFP |
| Apr. 10, 2009 | Charles Lutrick, Registered Representative |
| Apr. 10, 2009 | William Grace, Registered Representative, Danbury, Connecticut |
| Apr. 9, 2009 | Arthur F. Grant, President, Cadaret Grant |
| Apr. 9, 2009 | John Austin, Registered Principal, Financial Network, Brookeville, Maryland |
| Apr. 9, 2009 | Daniel W. Roberts, San Francisco, California |
| Apr. 9, 2009 | J. Pat Sadler, Esq., Sadler Hovdesven, P.C., Atlanta, Georgia |
| Apr. 9, 2009 | Richard A. Stephens, Esq., FINRA Arbitrator, Practicing Attorney, and former SEC Enforcement Attorney, Boca Raton, Florida |
| Apr. 9, 2009 | David P. Neuman, Stoltmann Law Offices, P.C., Chicago, Illinois |
| Apr. 9, 2009 | Henry W. Garrett, Investment Adviser Representative, Houston, Texas |
| Apr. 9, 2009 | Jeff White, CFP, Retirement-Coach |
| Apr. 9, 2009 | Jude McDaniel, President, McDaniel & McDaniel |
| Apr. 9, 2009 | Thomas Schirmer, Registered Represenative & Principal, FNIC |
| Apr. 9, 2009 | Charles Robertson, Financial Planner/Advisory Rep., Triad Advisors |
| Apr. 9, 2009 | Gregory J. Spinazze, Senior Vice President, Cambridge Wealth Strategies |
| Apr. 8, 2009 | Jerome Bonnett, President, Bonnett Financial Services, Inc., Omaha, Nebraska |
| Apr. 8, 2009 | Daniel Thomas, Jr., Certified Financial Planner, Thomas Financial Group LLC |
| Apr. 8, 2009 | Marsha Williams, Woodforest Financial Services |
| Apr. 8, 2009 | Mary Allen, Financial Advisor, Royal Alliance Associates, Inc. |
| Apr. 8, 2009 | Michael Klimis, President, CEO, Klimis & Associates, Inc. |
| Apr. 8, 2009 | J. Richard Coe, President, Coe Financial Services, Wichita, Kansas |
| Apr. 8, 2009 | John Dardis, Division Manager, NEXT Financial Group |
| Apr. 8, 2009 | John Morey, Financial Advisor, Omaha, Nebraska |
| Apr. 8, 2009 | Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC, Burbank, California |
| Apr. 7, 2009 | Ryan K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, Beverly Hills, California |
| Apr. 7, 2009 | Steven B. Caruso, Esq., Maddox Hargett Caruso, P.C., New York, New York |
| Apr. 6, 2009 | Richard M. Layne, Law Office of Richard M. Layne, Portland, Oregon |
| Apr. 3, 2009 | Herb Pounds, San Antonio, Texas |
| Apr. 3, 2009 | John L. Small, Atlanta, Georgia |
| Apr. 1, 2009 | Edward J. Wiles, Jr, District 11 Committee Member, SVP, CCO Genworth Financial Securities Corp., Stamford, Connecticut |
| Mar. 26, 2009 | Patricia A. Nelson, Brooklyn, New York |
| Mar. 26, 2009 | Robert Keenan, CEO, St Bernard Financial Services, Inc., Russellville, Arkansas |
http://www.sec.gov/comments/sr-finra-2009-008/finra2009008.shtml
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