Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook

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

Comment
A: 560

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Date Received
Date Letter Type Release Number Commenter Name
Meeting with SEC Officials 34-70612 Memorandum from the Division of Trading and Markets regarding a November 8, 2013, conference call with representatives of the Investment Company Institute
Public Comment 34-70612 Patricia Albrecht, Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment 34-70612 Andrea Seidt, President, North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner
Public Comment 34-70612 David T. Bellaire, Esq, Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment 34-70612 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment 34-69902 Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia
Meeting with SEC Officials 34-69902 Memorandum from the Division of Trading and Markets regarding an August 5, 2013, conference call with representatives of MSRB
Public Comment 34-69902 A. Heath Abshure, President, North American Securities Administrators Association(NASAA) and Arkansas Securities Commissioner
Public Comment 34-69902 Brian P. Sweeney, Law Office of Brian P. Sweeney, Indianapolis, Indiana
Public Comment 34-69902 Clifford Kirsch and Eric A. Arnold, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment 34-69902 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment 34-69902 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Public Comment 34-69902 Ira D. Hammerman, Senior Managing Director and General Counsel, SIFMA
Public Comment 34-69902 Nina Schloesser McKenna, General Counsel, Cetera Financial Group, Inc.
Public Comment 34-69902 Pamela M. Albanese, Legal Intern, and Christine Lazaro, Esq., Acting Director, St. John's Securities Arbitration Clinic, Queens, New York
Public Comment 34-69902 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, St. Louis, Missouri
Public Comment 34-69902 Scott C. Ilgenfritz, President, Public Investors Arbitration Bar Association, Tampa, Florida
Public Comment 34-69902 Scott Cook, Senior Vice President, Chief Compliance Officer, Charles Schwab & Co., Inc.
Public Comment 34-69902 Susanne Denby, CCO, NFP Securities, Inc., Austin, Texas
Public Comment 34-69902 Tamara K. Salmon, Senior Associate Counsel, Investment Company Institute
Public Comment 34-69902 J.S. Brandenburger
Public Comment 34-69902 Steve Putnam
Public Comment 34-69902 Norman B. Arnoff, Esq.
Public Comment 34-69902 Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York

Last Reviewed or Updated: Jan. 12, 2026

File Number
SR-FINRA-2013-025
Release Number
34-70612
34-69902
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