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
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

Filter comments

Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-64687 D. Grant Vingoe, Esq., Arnold & Porter LLP, New York, New York
Public Comment 34-64080 Erika Lazar, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment 34-64080 Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF Individual & Institutional Services, LLC
Public Comment 34-64080 John W. Curtis, Managing Director, General Counsel - Global Compliance, Goldman, Sachs & Co.
Public Comment 34-64080 David S. Massey, President, North American Securities Administrators Association
Public Comment 34-64080 James T. McHale, Managing Director and Associate General Counsel, SIFMA
Public Comment 34-64080 Bari Havlik, SVP and Chief Compliance Officer, Charles Schwab & Co., Inc.
Public Comment 34-64080 D. Grant Vingoe, Esquire, Partner, Arnold & Porter LLP, New York, New York
Public Comment 34-64080 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute
Public Comment 34-64080 James Livingston, President/Chief Executive Officer, National Planning Holdings, Inc.
Public Comment 34-64080 Jesse D. Hill, Director of Regulatory Relations, Edward Jones
Public Comment 34-64080 Joan Hinchman, Executive Director, CEO and President, National Society of Compliance Professionals Inc.
Public Comment 34-64080 Matthew J. Gavaghan, Janney Montgomery Scott LLC
Public Comment 34-64080 Pam Lewis Marlborough, Associate General Counsel, TIAA-CREF
Public Comment 34-64080 Ronald C. Long, Director of Regulatory Affairs, Wells Fargo Advisors, LLC
Public Comment 34-64080 Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment 34-64080 Z. Jane Riley, Chief Compliance Officer, The Leaders Group, Inc./TLG Advisors, Inc., Littleton, Colorado
Public Comment 34-64080 Jeffrey B. Williams, Vice President & Chief Compliance Officer, Northwestern Mutual Investment Services. LLC
Public Comment 34-64080 Corey N. Callaway, CEO, Callaway Financial Services, Inc., Arlington, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-013
Release Number
34-64687
34-64080
How to submit comments