Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Afshin Atabaki, Assistant General Counsel, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment Melissa MacGregor, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
File Number
SR-FINRA-2010-052
Release Number
34-63181
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