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

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Date Received
Date Letter Type Commenter Name
Public Comment Racquel Russell, Financial Industry Regulatory Authority, Washington, District of Columbia
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 Ann Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc.
Public Comment Patrick Chi, Director, Chief Compliance Officer, ITG Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2009-090
Release Number
34-61168
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