Comments on FINRA Rulemaking: Notice of Filing of Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Clifford Kirsch and Eric A. Arnold, 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 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals Inc.
Public Comment John Polanin and Claire Santaniello, Co-Chairs, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association
Public Comment Peter J. Mougey, President, Public Investors Arbitration Bar Association
Public Comment Sarah McCafferty , Vice President and Chief Compliance Officer, T. Rowe Price Investment Services, Inc.
Public Comment Scott Cook, Senior Vice President, Charles Schwab & Co., Inc.
Public Comment Stephanie L. Brown, Managing Director, General Counsel, LPL Financial
Public Comment Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia
Public Comment David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of Committee of Annuity Insurers

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-028
Release Number
34-64736
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