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Comments on FINRA Rulemaking: Notice of Filing of Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook
[Release No. 34-64736; File No. SR-FINRA-2011-028]
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| Aug. 4, 2011 | Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Jul. 20, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Jul. 20, 2011 | John Polanin and Claire Santaniello, Co-Chairs, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association |
| Jul. 20, 2011 | Peter J. Mougey, President, Public Investors Arbitration Bar Association |
| Jul. 20, 2011 | Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Jul. 20, 2011 | Stephanie L. Brown, Managing Director, General Counsel, LPL Financial |
| Jul. 20, 2011 | Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia |
| Jul. 20, 2011 | Scott Cook, Senior Vice President, Charles Schwab & Co., Inc. |
| Jul. 20, 2011 | Sarah McCafferty , Vice President and Chief Compliance Officer, T. Rowe Price Investment Services, Inc. |
| Jul. 20, 2011 | Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals Inc. |
| Jul. 14, 2011 | David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc. |
| Jul. 12, 2011 | Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of Committee of Annuity Insurers |
http://www.sec.gov/comments/sr-finra-2011-028/finra2011028.shtml
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