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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck

(Release No. 34-70876; File No. SR-FINRA-2013-048)

Dec. 13, 2013 Andrea Seidt, President, North American Securities Administrators Association
Dec. 11, 2013 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Dec. 9, 2013 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Atlanta, Georgia
Dec. 9, 2013 Sneha Parmar and Jeffrey Peters, Student Interns, and Elissa Germaine, Supervising Attorney, Pace Investor Rights Clinic, Pace University School of Law



Modified: 12/16/2013