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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change Relating to the Restructuring of Quotation Collection and Dissemination for OTC Equity Securities
(Release No. 34-60999; File No. SR-FINRA-2009-077)
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Feb. 3, 2012 | Rep. Michael G. Grimm, Member of Congress |
Apr. 18, 2011 | 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 |
Apr. 15, 2011 | Memorandum from the Office of Commissioner Aguilar regarding an April 15, 2011 meeting with representatives of OTC Markets Group, Inc. and Bingham McCutchen LLP |
Apr. 8, 2011 | 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 |
Apr. 8, 2011 | 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 |
Apr. 4, 2011 | Memorandum from the Office of Commissioner Aguilar regarding an April 1, 2011 meeting with representatives of FINRA |
May 6, 2010 | Memorandum from the Office of Commissioner Paredes regarding an April 23, 2010 meeting with representatives of the Financial Industry Regulatory Authority |
May 5, 2010 | Neal E. Sullivan and W. Hardy Callcott, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc. |
Apr. 20, 2010 | Memorandum from the Office of Commissioner Walter regarding an April 20, 2010 meeting with representatives of Pink OTC Markets Inc. |
Apr. 15, 2010 | Memorandum from the Office of Commissioner Walter regarding an April 15, 2010 meeting with representatives of FINRA |
Apr. 23, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a Meeting with Representatives of FINRA |
Mar. 25, 2010 | Mark H. Close, Oppenheimer & Close, Inc. |
Mar. 19, 2010 | Michael Trocchio, Bingham McCutchen LLP, on behalf of Pink OTC Markets Inc. |
Mar. 18, 2010 | Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA, Washington, District of Columbia |
Mar. 12, 2010 | Memorandum from the Office of Commissioner Paredes regarding a March 8, 2010, meeting with representatives of Pink OTC Markets, Inc. and Bingham McCutchen |
Mar. 4, 2010 | Jack Herstein, Chairperson of NASAA Corporation Finance Section Committee and Nebraska Securities Administrator |
Feb. 25, 2010 | Melissa MacGregor, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Feb. 19, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a February 9, 2010, meeting with representatives of Pink OTC Markets, Inc. |
Feb. 4, 2010 | David T. Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
Feb. 4, 2010 | Brett F. Mock, Chairman, Security Traders Association and John C. Giesea, President and CEO, Security Traders Association |
Jan. 26, 2010 | Christopher Meyer, Chief Compliance Officer, E*TRADE Capital Markets, LLC |
Jan. 26, 2010 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. and Michael T. Corrao, Chief Compliance Officer, Knight Equity Markets, L.P. |
Jan. 14, 2010 | Eugene P. Torpey, Frank P, Catrini, Christopher Catrini, Timothy Barba, Jayson Spitzer; Vandham Securities Corp. |
Jan. 13, 2010 | Kimberly Unger, Esq., The Security Traders Association of New York, Inc., New York, New York |
Dec. 18, 2009 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University, McDonough School of Business, Washington D.C.
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Dec. 17, 2009 | Walter P. Carucci, President, Carr Securities Corp. |
Dec. 15, 2009 | Glenn Chaleff, Compliance, The Vertical Group |
Dec. 14, 2009 | Jess Haberman |
Dec. 14, 2009 | R. Cromwell Coulson, President & CEO, Pink OTC Markets Inc. |
http://www.sec.gov/comments/sr-finra-2009-077/finra2009077.shtml
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