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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)
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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. |
http://www.sec.gov/comments/sr-finra-2009-039/finra2009039.shtml
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