Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 5

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Date Received
Date Letter Type Commenter Name
Public Comment Peter Voldness, CEO, Emergent, Bloomington, Minnesota
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 Arthur Gottlieb, Managing Director, C.W. Downer & Co., Boston, Massachusetts
Public Comment Benjamin Gordon, Managing Partner, BG Strategic Advisors, West Palm Beach, Florida
Public Comment Brett Harrison, President and CEO, MultiFinancial Securities Corporation, Denver, Colorado
Public Comment David D. McNally, President, McNally Financial Services Corporation, San Antonio, Texas
Public Comment David Thrasher, Thrasher & Chambers, Inc.
Public Comment Dr. Ying Cui, President, Univest Securities
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 Michael Mumaw
Public Comment Pete Hoffman, CPA, PHD Capital, New York, New York
Public Comment Ron Snyder, President, Selkirk Investments, Inc., Spokane, Washington
Public Comment Valerie G. Brown, CEO, Cetera Financial Group, El Segundo, California
Public Comment Westrock Capital Management, Inc., Chestnut Ridge, New York
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 Kevin A. Carreno, General Counsel and Chief Risk Officer, International Assets Advisory, LLC
Public Comment Brent Owens, CFD Investments
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Public Comment Wayne Talleur, President, Madison Avenue Securities, Inc.
Public Comment Robert A. Muh, Chief Executive Officer, Sutter Securities Incorporated

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2012-031
Release Number
34-67240
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