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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Outside Business Activities of Registered Persons

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Date Sort descending	Letter Type	Commenter Name
Sept. 21, 2010	Public Comment	Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Sept. 21, 2010	Public Comment	Gary A. Sanders, Vice President for Securities and State Government Relations, NAIFA
Sept. 21, 2010	Public Comment	William A. Jacobson, Associated Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
July 30, 2010	Public Comment	Gary L. Goldsholle, FINRA, Washington, District of Columbia
Aug. 6, 2009	Public Comment	Stephanie L. Brown, Managing Director, General Counsel, LPL Financial Corporation
July 29, 2009	Public Comment	Dale E. Brown, CAE, President & CEO, Financial Services Institute
July 29, 2009	Public Comment	Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors
July 29, 2009	Public Comment	Joan Hinchman, Executive Director, President and CEO, The National Society of Compliance Professionals
July 29, 2009	Public Comment	Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
July 28, 2009	Public Comment	James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-FINRA-2009-042

Release Number

34-60199

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