Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities

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Date Received
Date Letter Type Commenter Name
Public Comment Rep. Michael G. Grimm, Member of Congress
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 28, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an April 15, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 8, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 8, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding an April 1, 2011 meeting with representatives of FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding an April 23, 2010 meeting with representatives of the Financial Industry Regulatory Authority
Public Comment Neal E. Sullivan and W. Hardy Callcott, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a Meeting with Representatives of FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding an April 20, 2010 meeting with representatives of Pink OTC Markets Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding an April 15, 2010 meeting with representatives of FINRA
Public Comment Mark H. Close, Oppenheimer & Close, Inc.
Public Comment Michael Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc.
Public Comment Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Office of Commissioner Paredes regarding a March 8, 2010, meeting with representatives of Pink OTC Markets, Inc. and Bingham McCutchen
Public Comment Jack Herstein, Chairperson of NASAA Corporation Finance Section Committee and Nebraska Securities Administrator
Public Comment Melissa MacGregor, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Aguilar regarding a February 9, 2010, meeting with representatives of Pink OTC Markets, Inc.
Public Comment Brett F. Mock, Chairman, Security Traders Association and John C. Giesea, President and CEO, Security Traders Association
Public Comment David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment Christopher Meyer, Chief Compliance Officer, E*TRADE Capital Markets, LLC
Public Comment Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. and Michael T. Corrao, Chief Compliance Officer, Knight Equity Markets, L.P.
Public Comment Eugene P. Torpey, Frank P, Catrini, Christopher Catrini, Timothy Barba, Jayson Spitzer; Vandham Securities Corp.
Public Comment Kimberly Unger, Esq., The Security Traders Association of New York, Inc., New York, New York
Public Comment James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington D.C.
Public Comment Walter P. Carucci, President, Carr Securities Corp.
Public Comment Glenn Chaleff, Compliance, The Vertical Group
Public Comment Jess Haberman
Public Comment R. Cromwell Coulson, President & CEO, Pink OTC Markets Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-077
Release Number
34-60999
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