Comments on FINRA Rulemaking

Notice of Filing of Amendment No. 1 to Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
Notice of Filing of Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-72626 Matthew E. Vitek, Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment 34-72626 Andrea Seidt, President, North American Securities Administrators Association, Inc. (NASAA), and Commissioner, Ohio Securities Division
Public Comment 34-72626 Daniel R. Gilbert, Chief Investment & Operating Officer, NorthStar Asset Management Group Inc.
Public Comment 34-72626 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment 34-72626 Frederick P. Baerenz, President & CEO, AOG Wealth Management
Public Comment 34-72626 Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT)
Public Comment 34-72626 Mark Goldberg, Chairman, Investment Program Association
Public Comment 34-71545 Peter Peters
Public Comment 34-71545 Matthew E. Vitek, Associate General Counsel, FINRA
Public Comment 34-71545 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment 34-71545 Mark Kosanke, President, Real Estate Investment Securities Association (REISA)
Public Comment 34-71545 Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA
Public Comment 34-71545 Jason Doss, President, Public Investors Arbitration Bar Association (PIABA)
Public Comment 34-71545 Kenneth Mills
Public Comment 34-71545 James S. Wrona, Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Meeting with SEC Officials 34-71545 Memorandum from the Division of Trading and Markets regarding a June 19, 2014, letter from FINRA
Public Comment 34-71545 Matthew E. Vitek, Assistant General Counsel, Financial Industry Regulatory Authority, Inc.
Meeting with SEC Officials 34-71545 Memorandum from the Division of Trading and Markets regarding an April 2, 2014, meeting with the Investment Program Association
Public Comment 34-71545 David Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment 34-71545 David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment 34-71545 Dechert LLP
Public Comment 34-71545 Jacob Frydman, Chairman & CEO, United Realty Trust Incorporated, New York, New York
Public Comment 34-71545 Kirk A. Montgomery, Head of Regulatory Affairs, CNL Financial Group
Public Comment 34-71545 Mark Goldberg, Chairman, Investment Program Association
Public Comment 34-71545 Mark Kosanke, President, Real Estate Investment Securities Association
Public Comment 34-71545 Martel Day, Principal, NLR Advisory Services, LLC, Atlanta, Georgia
Public Comment 34-71545 Rodney F. Emery, CEO, Steadfast Companies
Public Comment 34-71545 Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT)
Public Comment 34-71545 Steven Morrison, Associate Counsel, LPL Financial LLC
Public Comment 34-71545 Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association (SIFMA)

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-006
Release Number
34-72626
34-71545
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