SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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

(Release No. 34-67240; File No. SR-FINRA-2012-031)


Comments have been received from individuals and entities using the following Letter Type A: 5
Aug. 17, 2012 Peter Voldness, CEO, Emergent, Bloomington, Minnesota
Aug. 3, 2012 Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Jul. 23, 2012 Albert Aizin, President, Advanced Planning Financial & Estate Services
Jul. 23, 2012 Mitchell S. Fiser, CPA, CFP, Fiser Group, Lenexa, Kansas
Jul. 23, 2012 Gerard P. Gloisten, President, GBS Financial Corp
Jul. 22, 2012 R. Searle
Jul. 20, 2012 Valerie G. Brown, CEO, Cetera Financial Group, El Segundo, California
Jul. 20, 2012 Jack R. Handy, Jr., CEO, Financial Network Investment Corporation, El Segundo, California
Jul. 20, 2012 James R. King, Sr., Chairman and CEO, Centaurus Financial, Inc., Anaheim, California
Jul. 20, 2012 Enrique M. Vasquez, President & CEO, Genworth Financial Investment Services, Inc.
Jul. 20, 2012 Brett Harrison, President and CEO, MultiFinancial Securities Corporation, Denver, Colorado
Jul. 19, 2012 David T. Bellaire, Esq., General Counsel and Director of Government Affairs, Financial Services Institute, Inc.
Jul. 20, 2012 Ron Snyder, President, Selkirk Investments, Inc., Spokane, Washington
Jul. 20, 2012 Michael Mumaw
Jul. 20, 2012 Westrock Capital Management, Inc., Chestnut Ridge, New York
Jul. 20, 2012 David Thrasher, Thrasher & Chambers, Inc.
Jul. 20, 2012 Pete Hoffman, CPA, PHD Capital, New York, New York
Jul. 20, 2012 David D. McNally, President, McNally Financial Services Corporation, San Antonio, Texas
Jul. 20, 2012 Dr. Ying Cui, President, Univest Securities
Jul. 20, 2012 Arthur Gottlieb, Managing Director, C.W. Downer & Co., Boston, Massachusetts
Jul. 20, 2012 Benjamin Gordon, Managing Partner, BG Strategic Advisors, West Palm Beach, Florida
Jul. 19, 2012 Eric A. Arnold and Clifford E. Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Jul. 19, 2012 Kevin A. Carreno, General Counsel and Chief Risk Officer, International Assets Advisory, LLC
Jul. 18, 2012 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Jul. 18, 2012 Wayne Talleur, President, Madison Avenue Securities, Inc.
Jul. 18, 2012 Brent Owens, CFD Investments
Jul. 16, 2012 Robert A. Muh, Chief Executive Officer, Sutter Securities Incorporated

 

http://www.sec.gov/comments/sr-finra-2012-031/finra2012031.shtml

Modified: 08/20/2012