Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)

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Date Received
Date Letter Type Commenter Name
Public Comment Lisa Catalano, Esq., Forest Hills, New York
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
Public Comment A. Heath Abshure, President, North American Securities Administrators Association, and Arkansas Securities Commissioner
Public Comment Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network, Waltham, Massachusetts
Public Comment Clifford E. Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment James Cooper, Chief Operating Officer, Zions Direct
Public Comment James Smith, Chief Compliance Officer, BlackRock Investments, LLC; Ned Montenecourt, Chief Compliance Officer, BlackRock Capital Markets, LLC, BlackRock Execution Services; and Joanne Medero, Managing Director, BlackRock, Inc., San Francisco, California
Public Comment Melissa Callison, Vice President, Compliance, Charles Schwab & Co., Inc.
Public Comment Melissa MacGregor, Esq., Securities Industry and Financial Markets Association, Washington, District of Columbia
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC, St. Louis, Missouri
Public Comment Scott A. Eichhorn, Esquire, Supervising Attorney, and Julianne S. Bisceglia, Legal Intern, University of Miami Investor Rights Clinic, Miami, Florida
Public Comment Tamara K. Salmon, Senior Associate Counsel, Securities Regulation, Investment Company Institute, Washington, District of Columbia
Public Comment William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment Bert Savage, Tampa, Florida
Public Comment Scott C. Ilgenfritz, President, Public Investors Arbitration Sar Association, Tampa, Florida
Public Comment Barry D. Estell, Self-Employed Attorney, Mission, Kansas
Public Comment David Neuman, Stoltmann Law Offices, Chicago, Illinois
Public Comment Scott R. Shewan, Pape & Shewan, LLP, Clovis, California
Public Comment Michael S. Edmiston and Jonathan W. Evans & Associates, Studio City, California
Public Comment Peter J. Chepucavage, General Counsel, Plexus Consulting Group, LLC
Public Comment Pamela M. Albanese, Student Intern, and Christine Lazaro, Esq., Acting Director, St. John's Law School Securities Arbitration Clinic, Queens, New York
Public Comment David M. Sobel, Esq., Abel/Noser Corp, New York, New York
Public Comment Charles Barker, St. Louis, Missouri

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-002
Release Number
34-68700
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