Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-63260 Dale E. Brown, President & CEO, Financial Services Institute, Inc.
Meeting with SEC Officials 34-62621 Memorandum from the Division of Trading and Markets regarding a September 2, 2010, meeting with representatives of the Committee of Annuity Insurers
Public Comment 34-62621 Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc.
Public Comment 34-62621 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-62621 Michael Lesutis, Assistant General Counsel, PFSI Investments, Inc.
Public Comment 34-62621 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals, Inc..
Public Comment 34-62621 Kristin Bulls, Products and Broker-Dealer , Compliance Director, State Farm VP Management Corp.
Public Comment 34-62621 Sutherland Asbill and Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment 34-62621 Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network, Waltham, Massachusetts

Last Reviewed or Updated: Jan. 12, 2026

File Number
SR-FINRA-2010-034
Release Number
34-63260
34-62621
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