Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change and Amendment No. 1 to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Gary T. Johnson, Managing Director, Compliance Department, Pershing LLC
Public Comment Bari Havlik, Chief Compliance Officer, Senior Vice President, Charles Schwab & Co., Inc.
Public Comment Christopher P. Laia, Vice-President, General Counsel, USAA Investment Management Company
Public Comment Clifford E. Kirsch and Susan S. Krawczyk, Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers
Public Comment David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment Dorothy A. Berry, Chair, Governing Council, Independent Directors Council
Public Comment Karrie McMillan, General Counsel, Investment Company Institute, Washington, District of Columbia
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Peter J. Mougey, President, Public Investors Arbitration Bar Association
Public Comment Stephanie L. Brown, Managing Director, General Counsel, LPL Financial LLC
Public Comment Richard D. Marshall, Esq., Ropes & Gray LLP, on behalf of Mutual of America Securities Corporation
Public Comment Pamela Lewis Marlborough, Esq,, Associate General Counsel, TIAA-CREF, Denver, Colorado

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-018
Release Number
34-64386
How to submit comments