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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]


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

Modified: 10/16/2014