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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change Relating to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook

(Release No. 34-61168; File No. SR-FINRA-2009-090)


Aug. 31, 2010 Racquel Russell, Financial Industry Regulatory Authority, Washington, District of Columbia
Feb. 22, 2010 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc., and Michael T. Corrao, Chief Compliance Officer, Knight Equity Markets, L.P.
Jan. 28, 2010 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Jan. 18, 2010 R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc.
Jan. 12, 2010 Patrick Chi, Director, Chief Compliance Officer, ITG Inc.

 

 

 

 

 

 

http://www.sec.gov/comments/sr-finra-2009-090/finra2009090.shtml

Modified: 09/02/2010