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Comments on FINRA Rulemaking
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
[Release No. 34-64687; File No. SR-FINRA-2011-013]
Notice of Filing of Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
[Release No. 34-64080; File No. SR-FINRA-2011-013]
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| Jun. 15, 2011 | Erika Lazar, Financial Industry Regulatory Authority, Washington, District of Columbia |
| May 4, 2011 | Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF Individual & Institutional Services, LLC |
| May 3, 2011 | John W. Curtis, Managing Director, General Counsel - Global Compliance, Goldman, Sachs & Co. |
| May 2, 2011 | David S. Massey, President, North American Securities Administrators Association |
| Apr. 29, 2011 | James T. McHale, Managing Director and Associate General Counsel, SIFMA |
| Apr. 8, 2011 | Jesse D. Hill, Director of Regulatory Relations, Edward Jones |
| Apr. 8, 2011 | Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Apr. 8, 2011 | Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc. |
| Apr. 8, 2011 | Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors, LLC |
| Apr. 8, 2011 | Joan Hinchman, Executive Director, CEO and President, National Society of Compliance Professionals Inc. |
| Apr. 8, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute |
| Apr. 8, 2011 | D. Grant Vingoe, Esquire, Partner, Arnold & Porter LLP, New York, New York |
| Apr. 8, 2011 | James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc. |
| Apr. 8, 2011 | Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF |
| Apr. 8, 2011 | Matthew J. Gavaghan, Janney Montgomery Scott LLC |
| Apr. 6, 2011 | Z. Jane Riley, Chief Compliance Officer, The Leaders Group, Inc./TLG Advisors, Inc., Littleton, Colorado |
| Mar. 25, 2011 | Jeffrey B. Williams, Vice President & Chief Compliance Officer, Northwestern Mutual Investment Services. LLC |
| Mar. 22, 2011 | Corey N. Callaway, CEO, Callaway Financial Services, Inc., Arlington, Texas |
http://www.sec.gov/comments/sr-finra-2011-013/finra2011013.shtml
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