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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
[Release No. 34-63260; File No. SR-FINRA-2010-034]
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
[Release No. 34-62621; File No. SR-FINRA-2010-034]
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| Sep. 23, 2010 | Memorandum from the Division of Trading and Markets regarding a September 2, 2010, meeting with representatives of the Committee of Annuity Insurers |
| Sep. 15, 2010 | Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc. |
| Sep. 1, 2010 | James T. McHale, Managing Director and Associate General Counsel, SIFMA |
| Sep. 1, 2010 | Michael Lesutis, Assistant General Counsel, PFSI Investments, Inc. |
| Aug. 30, 2010 | Sutherland Asbill and Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Aug. 30, 2010 | Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals, Inc.. |
| Aug. 30, 2010 | Kristin Bulls, Products and Broker-Dealer , Compliance Director, State Farm VP Management Corp. |
| Aug. 27, 2010 | Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network, Waltham, Massachusetts |
http://www.sec.gov/comments/sr-finra-2010-034/finra2010034.shtml
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