Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements

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Date Received
Date Letter Type Commenter Name
Public Comment Kathryn M. Moore, Associate General Counsel, FINRA, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 26, 2014 conference call with representatives of the Committee of Annuity Insurers
Public Comment Stephen E. Roth and Susan S. Krawczyk, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-004
Release Number
34-71486
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