Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Stephanie M. Dumont, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment Michael S. Nichols, Ph.D., Principal / Financial Advisor, Cutter Advisors Group
Public Comment Gary S. Sheller, CFP, Sheller Financial Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2010-055
Release Number
34-63256
How to submit comments