Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Forms U4 and U5

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 770
B: 681

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Date Received
Date Letter Type Commenter Name
Public Comment Richard E. Pullano, Associate Vice President and Chief Counsel, Registration and Disclosure, FINRA
Public Comment Doug Richards, Cedar Park, Texas
Public Comment Doria G. Bachenheimer, Vice President, Regulatory Law TIAA-CREF, New York, New York
Public Comment Hattie Evans, Registered Representative, Glenville, Pennsylvania
Public Comment James Rice, Registered Principal, Royal Alliance Associates, Wall, New Jersey
Public Comment Daniel Woodring, Vice President & Chief Compliance Officer, PFS Investments Inc.
Public Comment David Farrell
Public Comment John Still
Public Comment Robert Mabe
Public Comment Scot Bernstein, Law Offices of Scot D. Bernstein, A Professional Corporation, Mather Field, California
Public Comment Al Van Kampen, Attorney at Law, Seattle, Washington
Public Comment Amal Aly, Managing Director and Association General Counsel, SIFMA
Public Comment Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc.
Public Comment Barry D. Estell, Esq., Mission, Kansas
Public Comment Carl J. Carlson, Attorney, Seattle, Washington
Public Comment Charles Maurice
Public Comment Charles V. Senatore, Senior Vice President, Chief Compliance Officer, Fidelity Investments
Public Comment Christine Lazaro, Supervising Attorney, Securites Arbitration Clinic, St. John's University School of Law, Queens, New York
Public Comment Colin S. Casey
Public Comment Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Public Comment David Harrison, Law Offices of David Harrison
Public Comment David M. Koll
Public Comment David Shrom, Shrom Associates/FSC Securities Corporation
Public Comment Diane Anderson, Registrations Manager, Raymond James & Associates, Inc.
Public Comment Douglas G. Preston, Senior Vice President, Head of Regulatory Affairs, Banc of America Securities LLC, New York, New York
Public Comment Eileen Arcuri, UBS Financial Services Inc., Weehawken, New Jersey
Public Comment Evan J. Charkes, Managing Director and Deputy General Counsel, Citigroup Global Markets, Inc.
Public Comment Fred Joseph, President, North American Securities Administrators Association
Public Comment Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors
Public Comment Geoffrey Boyer, President, Boyer Financial Group

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-008
Release Number
34-59616
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