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Comments on FINRA Rulemaking

Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook

[Release No. 34-67157; File No. SR-FINRA-2011-057]


Jun. 29, 2012 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association

 

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 Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook

[Release No. 34-66203; File No. SR-FINRA-2011-057]


May 18, 2012 Stan Macel, Assistant General Counsel, FINRA
Apr. 27, 2012 G. Philip Rutledge, Lemoyne, Pennsylvania
Apr. 23, 2012 Jack E. Herstein, President, North American Securities Administrators Association, Inc.
Mar. 12, 2012 Stan Macel, Financial Industry Regulatory Authority, Washington, District of Columbia
Feb. 27, 2012 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Feb. 27, 2012 Daniel Oschin, President, Real Estate Investment Securities Association (REISA), Indianapolis, Indiana
Feb. 27, 2012 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Feb. 27, 2012 Alicia M. Cooney, CFA, Managing Director, Monument Group, Inc., Boston, Massachusetts
Feb. 27, 2012 National Investment Banking Association
Feb. 26, 2012 Wesley A. Brown, Managing Director and Chief Compliance Officer, St. Charles Capital, LLC
Feb. 24, 2012 Robert E. Buckholtz, Chair, Committee on Securities Regulation, New York City Bar Association
Feb. 23, 2012 Sullivan & Cromwell LLP
Feb. 1, 2012 Douglas Martin, San Francisco, California
 

Notice of Filing of Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)

[Release No. 34-65585; File No. SR-FINRA-2011-057]


Submitted Comments

(Click here for meetings with SEC officials)
Jan. 19, 2012 Stan Macel, Assistant General Counsel, Financial Industry Regulatory Authority
Jan. 12, 2012 Alicia M. Cooney, CFA, Monument Group, Inc., Boston, Massachusetts
Nov. 28, 2011 Osamu Watanabe, Deputy General Counsel, Moelis & Company LLC
Nov. 17, 2011 Jack E. Herstein, President, North American Securities Administrators Association, Inc.
Nov. 14, 2011 Richard B. Chess, President, Real Estate Investment Securities Association
Nov. 14, 2011 Ryan K. Bakhtiari, President, Public Investors Arbitration Bar Association
Nov. 14, 2011 Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Nov. 14, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Nov. 14, 2011 Joan Hinchman, Executive Director, President and CEO, National Society of Compliance Professionals
Nov. 14, 2011 Martel Day, Chairman, Investment Program Association
Nov. 14, 2011 Donald S. Weiss, Partner, KL Gates LLP, Chicago, Illinois
Nov. 14, 2011 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Nov. 14, 2011 William A. Jacobson, Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Nov. 10, 2011 Ryan Adams, Legal Intern; Christine Lazaro, Esq.,Supervising Attorney; and Lisa Catalano, Esq., Director; St. John's School of Law Securities Arbitration Clinic, Queens, New York
Nov. 10, 2011 Sullivan & Cromwell LLP
Nov. 9, 2011 Robert E. Buckholz, Chair Committee on Securities Regulation, New York City Bar Association
Nov. 9, 2011 William H. Navin, Executive Vice President and General Counsel, Options Clearing Corporation

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Dec. 14, 2011 Memorandum from the Division of Trading and Markets regarding a November 29, 2011, meeting with representatives of the Managed Funds Association

 

http://www.sec.gov/comments/sr-finra-2011-057/finra2011057.shtml

Modified: 10/16/2014