Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA

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Date Received
Date Letter Type Commenter Name
Public Comment Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment Howard Spindel, Senior Managing Director, Integrated Management Solutions USA LLC
Public Comment Stephen H. Cohen, Partner, Loeb & Loeb LLP
Public Comment Kevin A. Carreno, President, Experts Counsel Inc., St. Petersburg, Florida

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2012-018
Release Number
34-66508
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