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Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook

[Release No. 34-63325; File No. SR-FINRA-2010-039]

Dec. 14, 2010 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Dec. 14, 2010 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma

Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook

[Release No. 34-62718; File No. SR-FINRA-2010-039]

Oct. 21, 2010 James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Sep. 28, 2010 Timothy R. Wing, President and CEO, CME Stock/Option Consulting Services, Inc.
Sep. 27, 2010 Dale E. Brown, President and CEO, Financial Services Institute, Inc.
Sep. 24, 2010 Scott C. Ilgenfritz, Johnson, Pope, Bokor, Ruppel & Burns, LLP
Sep. 15, 2010 John S. Markle, Deputy General Counsel, TD Ameritrade, Columbia, Maryland
Sep. 14, 2010 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Sep. 10, 2010 Al Van Kampen, Esquire, Seattle, Washington
Sep. 9, 2010 Peter J. Mougey, Levin, Papantonio, Thomas, Mitchell, Echsner, Rafferty, Proctor, P.A., Pensacola, Florida
Sep. 9, 2010 Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co. Inc., San Francisco, California
Sep. 9, 2010 G. Mark Brewer, Esquire, San Diego, California
Sep. 9, 2010 Lisa Catalano, Director, St. John's University School of Law Securities Arbitration Clinic, Queens, New York
Sep. 9, 2010 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Sep. 9, 2010 Stephen Krosschell, Goodman Nekvasil, P.A., Clearwater, Florida
Sep. 9, 2010 Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors
Sep. 9, 2010 Pamela Lewis Marlborough, Associate General Counsel, Advocacy & Oversight, TIAA-CREF
Sep. 9, 2010 Scott R. Shewan, President, Public Investors Arbitration Bar Association
Sep. 9, 2010 Tina G. Stavrou, Assistant General Counsel, North American Securities Administrators Association, Washington, District of Columbia
Sep. 9, 2010 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Sep. 9, 2010 Richard M. Layne, Portland, Oregon
Sep. 9, 2010 David P Neuman, Stoltmann Law Offices, PC, Chicago, Illinois
Sep. 9, 2010 Barbara Black, Charles Hartsock Professor of Law and Director, Corporate Law Center, University of Cincinnati College of Law, and Jill I. Gross, Professor of Law and Director of Legal Skills and Director, Pace Investor Rights Clinic, Pace University School of Law
Sep. 9, 2010 Barry D. Estell, Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Sep. 8, 2010 Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York

Modified: 12/16/2010