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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)

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

Modified: 02/19/2013