Comments on FINRA Rulemaking

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

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-63325 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment 34-63325 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment 34-62718 James S. Wrona, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment 34-62718 Timothy R. Wing, President and CEO, CME Stock/Option Consulting Services, Inc.
Public Comment 34-62718 Dale E. Brown, President and CEO, Financial Services Institute, Inc.
Public Comment 34-62718 Scott C. Ilgenfritz, Johnson, Pope, Bokor, Ruppel & Burns, LLP
Public Comment 34-62718 John S. Markle, Deputy General Counsel, TD Ameritrade, Columbia, Maryland
Public Comment 34-62718 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-62718 Al Van Kampen, Esquire, Seattle, Washington
Public Comment 34-62718 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
Public Comment 34-62718 Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co. Inc., San Francisco, California
Public Comment 34-62718 Barry D. Estell, Attorney Representing Customers in FINRA Arbitration, Mission, Kansas
Public Comment 34-62718 David P Neuman, Stoltmann Law Offices, PC, Chicago, Illinois
Public Comment 34-62718 G. Mark Brewer, Esquire, San Diego, California
Public Comment 34-62718 Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors
Public Comment 34-62718 Lisa Catalano, Director, St. John's University School of Law Securities Arbitration Clinic, Queens, New York
Public Comment 34-62718 Pamela Lewis Marlborough, Associate General Counsel, Advocacy & Oversight, TIAA-CREF
Public Comment 34-62718 Peter J. Mougey, Levin, Papantonio, Thomas, Mitchell, Echsner, Rafferty, Proctor, P.A., Pensacola, Florida
Public Comment 34-62718 Richard M. Layne, Portland, Oregon
Public Comment 34-62718 Scott R. Shewan, President, Public Investors Arbitration Bar Association
Public Comment 34-62718 Stephen Krosschell, Goodman Nekvasil, P.A., Clearwater, Florida
Public Comment 34-62718 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment 34-62718 Tina G. Stavrou, Assistant General Counsel, North American Securities Administrators Association, Washington, District of Columbia
Public Comment 34-62718 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment 34-62718 Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York

Last Reviewed or Updated: Jan. 12, 2026

File Number
SR-FINRA-2010-039
Release Number
34-63325
34-62718
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