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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
(Release No. 34-68700; File No. SR-FINRA-2013-002)
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| Feb. 18, 2013 | Lisa Catalano, Esq., Forest Hills, New York |
| Feb. 16, 2013 | Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York |
| Feb. 15, 2013 | Clifford E. Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Feb. 15, 2013 | 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 |
| Feb. 15, 2013 | James Cooper, Chief Operating Officer, Zions Direct |
| Feb. 15, 2013 | Melissa Callison, Vice President, Compliance, Charles Schwab & Co., Inc. |
| Feb. 15, 2013 | Brendan Daly, Legal and Compliance Counsel, Commonwealth Financial Network, Waltham, Massachusetts |
| Feb. 15, 2013 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC, St. Louis, Missouri |
| Feb. 15, 2013 | Tamara K. Salmon, Senior Associate Counsel, Securities Regulation, Investment Company Institute, Washington, District of Columbia |
| Feb. 15, 2013 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute, Washington, District of Columbia |
| Feb. 15, 2013 | Scott A. Eichhorn, Esquire, Supervising Attorney, and Julianne S. Bisceglia, Legal Intern, University of Miami Investor Rights Clinic, Miami, Florida |
| Feb. 15, 2013 | Melissa MacGregor, Esq., Securities Industry and Financial Markets Association, Washington, District of Columbia |
| Feb. 15, 2013 | A. Heath Abshure, President, North American Securities Administrators Association, and Arkansas Securities Commissioner |
| Feb. 14, 2013 | William A. Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Feb. 13, 2013 | Bert Savage, Tampa, Florida |
| Feb. 13, 2013 | Scott C. Ilgenfritz, President, Public Investors Arbitration Sar Association, Tampa, Florida |
| Feb. 12, 2013 | Barry D. Estell, Self-Employed Attorney, Mission, Kansas |
| Feb. 12, 2013 | David Neuman, Stoltmann Law Offices, Chicago, Illinois |
| Feb. 11, 2013 | Scott R. Shewan, Pape & Shewan, LLP, Clovis, California |
| Feb. 10, 2013 | Michael S. Edmiston and Jonathan W. Evans & Associates, Studio City, California |
| Feb. 6, 2013 | Peter J. Chepucavage, General Counsel, Plexus Consulting Group, LLC |
| Feb. 4, 2013 | Pamela M. Albanese, Student Intern, and Christine Lazaro, Esq., Acting Director, St. John's Law School Securities Arbitration Clinic, Queens, New York |
| Jan. 30, 2013 | David M. Sobel, Esq., Abel/Noser Corp, New York, New York |
| Jan. 29, 2013 | Charles Barker, St. Louis, Missouri |
http://www.sec.gov/comments/sr-finra-2013-002/finra2013002.shtml
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