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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
(Release No. 34-61927; File No. SR-FINRA-2010-012)
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Jun. 21, 2010 | Richard Pullano, Associate Vice President and Chief Counsel, FINRA, Rockville, Maryland |
May 25, 2010 | Steven B. Caruso, Maddox Hargett Caruso, P.C., New York, New York |
May 19, 2010 | Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc. |
May 14, 2010 | John M. Ivan, Senior Vice President, General Counsel, Janney Montgomery Scott, LLC, Philadelphia, Pennsylvania |
May 13, 2010 | Joelle B. Franc, Student Attorney; Jonathan P. Terracciano, Student Attorney; and Birgitta K. Siegel, Esq., Visiting Asst. Professor; Securities Arbitration & Consumer Law Clinic, Syracuse University College of Law |
May 13, 2010 | E. John Moloney, President and CEO, Moloney Securities Company, Inc. and
Chairman, Securities Industry and Financial Markets Association Small Firms Committee |
May 13, 2010 | William A. Jacobson, Esq., Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic and Adisada Dudie, Cornell Law School, 2011 |
May 13, 2010 | Lisa A. Catalano, Director, Associate Professor of Clinical Legal Education and Christine Lazaro, Supervising Attorney, Securities Arbitration Clinic, St. John's University School of Law, Queens, New York |
May 12, 2010 | Deborah M. Castiglioni, CEO, CCO Cutter Company, Inc., Ballwin, Missouri |
May 11, 2010 | Kelly R. Welker, Branch Manager, LPL Financial |
May 11, 2010 | Scott R. Shewan, President, Public Investors Arbitration Bar Association |
May 11, 2010 | Melanie Senter Lubin, Maryland Securities Commissioner and Chair, NASAA CRD/IARD Steeling Committee |
May 6, 2010 | Lisa Roth, NAIBD Member Advocacy, Committee Chair, Keystone Capital Corporation, CEO/CCO |
May 6, 2010 | Pamela Fritz, CSCP, AIRC, FFSI, FIC; Chief Compliance Officer, MWA Financial Services, Inc. |
May 4, 2010 | Andrew Oster, President and CEO, Oster Financial Group, LLC, Edmond, Oklahoma |
http://www.sec.gov/comments/sr-finra-2010-012/finra2010012.shtml
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