Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities
Notice of Filing of Proposed Rule Change to Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-61677 Racquel L. Russell, FINRA, Washington, District of Columbia
Public Comment 34-61677 R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc.
Public Comment 34-61677 Daniel Kanter, President, Monroe Securities and Craig Carlino, Chief Compliance Officer, Monroe Securities
Public Comment 34-60515 R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc.
Public Comment 34-60515 Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment 34-60515 Christopher Nagy, TD Ameritrade, Inc., Omaha, Nebraska
Public Comment 34-60515 Janet M. Kissane, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext
Public Comment 34-60515 R. Cromwell Coulson, President & CEO, Pink OTC Markets Inc.
Public Comment 34-60515 Daniel Kanter, President, and Craig Carlino, Chief Compliance Officer, Monroe Securities, Inc.
Public Comment 34-60515 Elaine M. Kaven, Chief Compliance Officer, StockCross Financial Services, Inc.
Public Comment 34-60515 Kimberly Unger, Security Traders Association of New York, Inc., New York, New York
Public Comment 34-60515 Leonard J. Amoruso, General Counsel, and Michael T. Carrao, Chief Compliance Officer, Knight Capital Group, Inc.
Public Comment 34-60515 William Assatly, Sr. Vice President, Trading, Mercator Associates
Public Comment 34-60515 Kimberly Unger, The Security Traders Association of New York, Inc., New York , New York
Public Comment 34-60515 Anonymous

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-054
Release Number
34-61677
34-60515
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