Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendments Nos. 1, 2 and 3, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Notice of Filing of Amendment No. 2 to Proposed Rule Change, as modified by Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook
Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-66681 John Polanin and Claire Santaniello Co-Chairs, Compliance and Regulatory Policy Committee 2012, SIFMA
Public Comment 34-66049 John Polanin and Claire Santaniello Co-Chairs, Compliance and Regulatory Policy Committee 2012, SIFMA
Public Comment 34-66049 Joseph P. Savage, Vice President & Counsel Investment Companies Regulation, FINRA, Washington, District of Columbia
Public Comment 34-66049 Stephanie Nicolas, WilmerHale
Public Comment 34-66049 Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute, Washington, District of Columbia
Meeting with SEC Officials 34-66049 Memorandum from the Division of Trading and Markets regarding December 21, 2011, and January 4, 2012, conference calls with representatives of the Investment Company Institute
Public Comment 34-65663 Joseph P. Savage, Vice President & Counsel, Investment Companies Regulation, FINRA, Washington, District of Columbia
Public Comment 34-65663 Alexander C. Gavis, Vice President & Associate General Counsel, FMR LLC Legal Department, Fidelity Investments
Public Comment 34-65663 David T. Bellaire, General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment 34-65663 Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute
Public Comment 34-65663 Jeremiah McGair, Attorney, Wolverine Execution Services, LLC
Public Comment 34-65663 John Polanin, Co-Chair, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association and Claire Santaniello, Co-Chair, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association
Public Comment 34-65663 Melissa Callison, Vice President, Compliance, Charles Schwab & Co., Inc
Public Comment 34-65663 Sandra J. Burke, Principal, Vanguard
Public Comment 34-65663 Philip A Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment 34-64984 Joseph P. Savage, Vice President & Counsel, Investment Companies Regulation, FINRA, Washington, District of Columbia
Public Comment 34-64984 Yoon-Young Lee, WilmerHale LLP, Washington, District of Columbia
Public Comment 34-64984 John Polanin and Claire Santaniello, Co-Chairs, Compliance and Regulatory Policy Committee 2011, Securities Industry and Financial Markets Association
Public Comment 34-64984 Alexander C. Gavis, FMR LLC Legal Department, Fidelity Investments
Public Comment 34-64984 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment 34-64984 Dorothy M. Donohue, Investment Company Institute, Washington, District of Columbia
Public Comment 34-64984 Sandra J. Burke, Principal, Vanguard, Valley Forge, Pennsylvania
Public Comment 34-64984 Z. Jane Riley, CSCP, Chief Compliance Officer, The Leaders Group, Inc.
Public Comment 34-64984 Oscar S. Hackett, General Counsel, BrightScope, Inc., San Diego, California
Public Comment 34-64984 Peter J. Mougey, President, Public Investors Arbitration Bar Association, Pensacola, Florida

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2011-035
Release Number
34-66681
34-66049
34-65663
34-64984
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