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 Section 1(c) of Schedule A to the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment

(Release No. 34-60624; File No. SR-FINRA-2009-057)

Comments have been received from individuals and entities using the following Letter Type A: 4
Comments have been received from individuals and entities using the following Letter Type B: 672
Nov. 18, 2009 Philip Shaikun, FINRA, Washington, District of Columbia
Oct. 13, 2009 Mark E. Larson, Esquire, CPA, Academic Director of the Certificate in Financial Planning Program at Marquette University, Lisle, Illinois
Oct. 5, 2009 Daniel W. Roberts, President/CEO, Roberts & Ryan Investments Inc.
Oct. 5, 2009 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
Oct. 5, 2009 Elliott Harris
Oct. 2, 2009 Debra G. McGuire, CPA, McGuire Dyke Investment Group
Oct. 2, 2009 Gerard P. Gloisten, President, GBS Financial Corp.
Oct. 2, 2009 Mark J. Schlafly, President & CEO, FSC Securities Corporation, Inc.
Oct. 2, 2009 Dale E. Brown, Financial Services Institute, Inc.
Oct. 2, 2009 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Oct. 2, 2009 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Oct. 2, 2009 John S. Watts, SVP & Chief Counsel, PFS Investments Inc
Oct. 2, 2009 E. John Moloney, Chairman, SIFMA Small Firms Committee, Securities Industry and Financial Markets Association
Oct. 2, 2009 David E. Axtell, Compliance Director, State Farm Investment Management Corp., Bloomington, Indiana
Oct. 2, 2009 Paul Cellupica, Chief Counsel, Securities Regulation & Corporate Services, MetLife, Inc.
Oct. 2, 2009 Edward Wiles, SVP & CCO, Genworth Financial Securities Corp.
Oct. 2, 2009 James M. Clous, RR
Oct. 2, 2009 Kevin L. Palmer, CEO/President, World Group Securities, Duluth, Georgia
Oct. 1, 2009 Richard P. Woltman, CEO & Chairman, Girard Securities, Inc.
Oct. 1, 2009 Paige W. Pierce, CEO, RW Smith Associates, Inc., Seattle, Washington
Sep. 30, 2009 Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Sep. 30, 2009 Kevin Tucker
Sep. 29, 2009 Nicholas C. Cochran, Vice President, American Investors Company, San Ramon, California
Sep. 29, 2009 Robert Black, Jr., President, Legacy Planning Group, Inc.
Sep. 29, 2009 Edward Skelly, President, Sterling Financial Partners
Sep. 29, 2009 Sandra Hay Magdaleno, CFP
Sep. 29, 2009 Pamela Goodall
Sep. 29, 2009 Jim Loessberg
Sep. 29, 2009 Russell L. Bacon, MBA, CSA, Director, Montgomery Wealth Management
Sep. 29, 2009 Cynthia Iquinto
Sep. 28, 2009 D.W. Hadley, Jr., Capital Analysts of NC, Inc.
Sep. 28, 2009 Michelle E. Heyne, CCO, McAdams Wright Ragen, Inc., Seattle, Washington
Sep. 28, 2009 Joel Dash
Sep. 28, 2009 Donna M. Stevenson
Sep. 28, 2009 Penn Rettig, Branch Manager, Multi Financial Securities Corp.
Sep. 28, 2009 John Terry, President, High Street Securities, Inc.
Sep. 26, 2009 Martin Cohen, President, Balanced Financial Securities
Sep. 25, 2009 Robert B. Lyons, CLU, ChFC
Sep. 25, 2009 S. Ann Pugh, CFP
Sep. 25, 2009 Stephen Russell, Senior Vice President, VSR Financial Services, Inc.
Sep. 25, 2009 Brian Perley, ChFC, CFP, Hammond Financial, Inc.
Sep. 25, 2009 Jeffrey M. Auld, President and Chief Executive Officer, SagePoint Financial, Inc.
Sep. 25, 2009 William Robbins, Registered Representative, Coordinated Capital Securities, Inc
Sep. 25, 2009 Pamela Fritz, CCO, MWA Financial Services, Inc.
Sep. 25, 2009 Bruce Ferguson
Sep. 25, 2009 Kurt Dressler
Sep. 25, 2009 James G. Timpa
Sep. 25, 2009 Sherri White
Sep. 24, 2009 Janice Hobbs, President, JanHobbs Financial Group
Sep. 24, 2009 Daniel G. Trout
Sep. 24, 2009 Jonathan Meaney, CFP
Sep. 24, 2009 Kate Marvel, President, Marvel Financial Planning, Inc.
Sep. 24, 2009 James Woytcke, CEO/Owner, Financial Success Ltd.
Sep. 24, 2009 Suzanne Seay, CFP
Sep. 24, 2009 John Sklencar, Financial Advisor, FSC Securities Corp.
Sep. 24, 2009 John Ikeda, Registered Principal, Financial Network Investment Corp.
Sep. 24, 2009 Timothy Jones, Chairman, CJM Wealth Advisers, LTD
Sep. 24, 2009 Gary Orler
Sep. 24, 2009 David L. Ehrig
Sep. 24, 2009 Tim
Sep. 24, 2009 Nancy Wheeler Bertacini, Curnes Financial Group, FNIC
Sep. 24, 2009 Frank L. Smith, President, Foresters Equity Services, Inc., San Diego, California
Sep. 23, 2009 Kevin Hart Korfield
Sep. 22, 2009 David M. Sobel, Esq., EVP / CCO, Abel/Noser Corp.
Sep. 21, 2009 Anthony Pappas, Ph.D., President, Whitestone Securities Inc.
Sep. 17, 2009 Phillip H. Palmer, ChFC, President and CEO, First Independent Financial Services, Inc. and Affiliates
Sep. 17, 2009 William R. Sykes, President, Sykes Financial Services LLC
Sep. 17, 2009 Richard J. Carlesco Jr. LUTCF, IBN Financial Services, Inc.
Sep. 2, 2009 Jonathan Zulauf

Modified: 11/24/2009