Comments on FINRA Rulemaking

Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
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: Dec. 18, 2025

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