Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository

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Date Received
Date Letter Type Commenter Name
Public Comment Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment Albert Aizin, President, Advanced Planning Financial & Estate Services
Public Comment Gerard P. Gloisten, President, GBS Financial Corp
Public Comment Mitchell S. Fiser, CPA, CFP, Fiser Group, Lenexa, Kansas
Public Comment R. Searle
Public Comment Brett Harrison, President and CEO, MultiFinancial Securities Corporation, Denver, Colorado
Public Comment Enrique M. Vasquez, President & CEO, Genworth Financial Investment Services, Inc.
Public Comment Jack R. Handy, Jr., CEO, Financial Network Investment Corporation, El Segundo, California
Public Comment James R. King, Sr., Chairman and CEO, Centaurus Financial, Inc., Anaheim, California
Public Comment John S. Watts, Senior Vice President & Chief Counsel, and Michael Lesutis, Assistant General Counsel, PFS Investments Inc., Duluth, Georgia
Public Comment Valerie G. Brown, CEO, Cetera Financial Group, El Segundo, California
Public Comment David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Public Comment Eric A. Arnold and Clifford E. Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Brent Owens, CFD Investments
Public Comment Wayne Talleur, President, Madison Avenue Securities, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2012-030
Release Number
34-67247
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