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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 3310 (Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook

(Release No. 34-60112; File No. SR-FINRA-2009-039)

Jul. 29, 2009 Patricia Albrecht, FINRA, Washington, District of Columbia
Jul. 16, 2009 Larry Dorn, Owner, President, AML Officer, Financial Principal, Dorn & Co., Inc.
Jul. 14, 2009 Joe Giordano, President, Joseph James Financial Services, Inc., Rochester, Michigan
Jul. 13, 2009 S. Lauren Heyne, Chief Compliance Officer, RW Smith & Associates, Inc., Seattle, Washington
Jul. 13, 2009 Terri F. Rumans, Rochester, New York
Jul. 10, 2009 William R. Pictor, CEO, Trubee Collins, Buffalo, New York
Jul. 9, 2009 Deborah M. Castiglioni, CEO, Cutter & Company, Inc., Ballwin, Missouri
Jul. 8, 2009 Judy L. Loy, CEO, Nestlerode & Loy Inc.

Modified: 07/30/2009