SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


Comments on FINRA Rulemaking

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

(Release No. 34-60199; File No. SR-FINRA-2009-042)

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

Modified: 09/22/2010