Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules

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Date Received
Date Letter Type Commenter Name
Public Comment Kathryn M. Moore, Associate General Counsel, FINRA
Public Comment Sean Davy, Managing Director, Corporate Credit Markets Division, SIFMA
Public Comment Suzanne Rothwell, Managing Member, Rothwell Consulting LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-003
Release Number
34-71372
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