Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-59921 James McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials 34-59921 Memorandum from the Division of Trading and Markets regarding an October 11, 2011, conference call with representatives of the Securities Industry and Financial Markets Association (SIFMA) and the Financial Industry Regulatory Authority (FINRA)
Public Comment 34-59921 Bonnie K. Wachtel, CEO, Wachtel & Co Inc, Washington, District of Columbia
Public Comment 34-59921 Robert C. Rungee, Senior Compliance Specialist, People's Securities, Inc.
Public Comment 34-59921 James T. McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment 34-59921 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment 34-59921 Jesse Hill, Director of Regulatory Relations, Edward Jones
Public Comment 34-59921 Adym Rygmyr, Managing Director & Broker-Dealer General Counsel, TIAA-CREF, Denver, Colorado
Public Comment 34-59921 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia
Public Comment 34-59921 Jonathan Feigelson, SVP, General Counsel, TIAA-CREF, New York, New York
Public Comment 34-59921 Bari Havlik, Chief Compliance Officer,, Senior Vice President, Charles Schwab & Co., Inc.
Public Comment 34-59921 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Public Comment 34-59921 David J. Pearlman, Chair, Regulatory Affairs Committee, College Savings Foundation
Public Comment 34-59921 John Muschalek, Managing Director, Clearing Services Division, First Southwest Company
Public Comment 34-59921 John S. Markle, Deputy General Counsel, Regulatory Operations, TD AMERITRADE Holding Corporation
Public Comment 34-59921 Jonathan Feigelson, SVP, General Counsel, TIAA-CREF, New York, New York
Public Comment 34-59921 Sean C. Davy, Managing Director, Corporate Credit Markets Division, Securities Industry and Financial Markets Association (SIFMA), New York, New York
Public Comment 34-59921 Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers
Public Comment 34-59921 Jesse Hill, Director of Regulatory Services, Edward Jones
Public Comment 34-59921 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment 34-59921 Gene Woodham, Chief Operating Officer, Sterne Agee Group, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-028
Release Number
34-59921
34-59921
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