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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
(Release No. 34-70276; File No. SR-FINRA-2013-036)
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| Feb. 24, 2014 | Brant K. Brown, Associate General Counsel, FINRA |
| Jan. 13, 2014 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Jan. 6, 2014 | Mary Ann Burns, FIA Principal Traders Group, Washington, District of Columbia |
| Dec. 23, 2013 | Manisha Kimmel, Executive Director, Financial Information Forum |
| Dec. 2, 2013 | Brant K. Brown, Associate General Counsel, Financial Industry Regulatory Authority, Inc. |
| Dec. 2, 2013 | Brant K. Brown, Associate General Counsel, Financial Industry Regulatory Authority, Inc. |
| Oct. 4, 2013 | Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA |
| Sep. 25, 2013 | Manisha Kimmel, Executive Director, Financial Information Forum |
| Sep. 25, 2013 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Sep. 25, 2013 | Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association |
| Sep. 9, 2013 | Anonymous, Washington, District of Columbia |
Meetings with SEC Officials
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| Jan. 22, 2014 | Memorandum from the Division of Trading and Markets regarding a January 22, 2014, meeting with representatives of the Futures Industry Association (FIA) |
http://www.sec.gov/comments/sr-finra-2013-036/finra2013036.shtml
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