Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 4
B: 672

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Date Received
Date Letter Type Commenter Name
Public Comment Philip Shaikun, FINRA, Washington, District of Columbia
Public Comment Mark E. Larson, Esquire, CPA, Academic Director of the Certificate in Financial Planning Program at Marquette University, Lisle, Illinois
Public Comment Daniel W. Roberts, President/CEO, Roberts & Ryan Investments Inc.
Public Comment Elliott Harris
Public Comment Jonathan W. Cuneo, Cuneo Gilbert & Laduca, LLP, and Richard D. Greenfield, Greenfield & Goodman LLC, on behalf of Standard Investment Chartered, Inc., Washington, District of Columbia
Public Comment Dale E. Brown, Financial Services Institute, Inc.
Public Comment David E. Axtell, Compliance Director, State Farm Investment Management Corp., Bloomington, Indiana
Public Comment Debra G. McGuire, CPA, McGuire Dyke Investment Group
Public Comment E. John Moloney, Chairman, SIFMA Small Firms Committee, Securities Industry and Financial Markets Association
Public Comment Edward Wiles, SVP & CCO, Genworth Financial Securities Corp.
Public Comment Gerard P. Gloisten, President, GBS Financial Corp.
Public Comment James M. Clous, RR
Public Comment John S. Watts, SVP & Chief Counsel, PFS Investments Inc
Public Comment Kevin L. Palmer, CEO/President, World Group Securities, Duluth, Georgia
Public Comment Mark J. Schlafly, President & CEO, FSC Securities Corporation, Inc.
Public Comment Paul Cellupica, Chief Counsel, Securities Regulation & Corporate Services, MetLife, Inc.
Public Comment Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Paige W. Pierce, CEO, RW Smith Associates, Inc., Seattle, Washington
Public Comment Richard P. Woltman, CEO & Chairman, Girard Securities, Inc.
Public Comment Kevin Tucker
Public Comment Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Public Comment Cynthia Iquinto
Public Comment Edward Skelly, President, Sterling Financial Partners
Public Comment Jim Loessberg
Public Comment Nicholas C. Cochran, Vice President, American Investors Company, San Ramon, California
Public Comment Pamela Goodall
Public Comment Robert Black, Jr., President, Legacy Planning Group, Inc.
Public Comment Russell L. Bacon, MBA, CSA, Director, Montgomery Wealth Management
Public Comment Sandra Hay Magdaleno, CFP

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-057
Release Number
34-60624
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