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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
(Release No. 34-72626; File No. SR-FINRA-2014-006)
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| Sep. 16, 2014 | Matthew E. Vitek, Associate General Counsel, FINRA, Washington, District of Columbia |
| Aug. 22, 2014 | Andrea Seidt, President, North American Securities Administrators Association, Inc. (NASAA), and Commissioner, Ohio Securities Division |
| Aug. 12, 2014 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
| Aug. 12, 2014 | Daniel R. Gilbert, Chief Investment & Operating Officer, NorthStar Asset Management Group Inc. |
| Aug. 12, 2014 | Frederick P. Baerenz, President & CEO, AOG Wealth Management |
| Aug. 12, 2014 | Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT) |
| Jul. 28, 2014 | Mark Goldberg, Chairman, Investment Program Association |
Notice of Filing of Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities
(Release No. 34-71545; File No. SR-FINRA-2014-006)
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(Click here for meetings with SEC officials)
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| Jul. 15, 2014 | Peter Peters |
| Jul. 11, 2014 | Matthew E. Vitek, Associate General Counsel, FINRA |
| Jun. 26, 2014 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Jun. 26, 2014 | Thomas F. Price, Managing Director, Operations, Technology & BCP, SIFMA |
| Jun. 26, 2014 | Mark Kosanke, President, Real Estate Investment Securities Association (REISA) |
| Jun. 25, 2014 | Jason Doss, President, Public Investors Arbitration Bar Association (PIABA) |
| Jun. 24, 2014 | Kenneth Mills |
| Jun. 19, 2014 | James S. Wrona, Vice President and
Associate General Counsel, FINRA, Washington, District of Columbia |
| May 16, 2014 | Matthew E. Vitek, Assistant General Counsel, Financial Industry Regulatory Authority, Inc. |
| Mar. 12, 2014 | Mark Kosanke, President, Real Estate Investment Securities Association |
| Mar. 12, 2014 | Rodney F. Emery, CEO, Steadfast Companies |
| Mar. 12, 2014 | Martel Day, Principal, NLR Advisory Services, LLC, Atlanta, Georgia |
| Mar. 12, 2014 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
| Mar. 12, 2014 | Mark Goldberg, Chairman, Investment Program Association |
| Mar. 12, 2014 | Kirk A. Montgomery, Head of Regulatory Affairs, CNL Financial Group |
| Mar. 12, 2014 | Steven A. Wechsler, President & CEO, National Association of Real Estate Investment Trusts (NAREIT) |
| Mar. 12, 2014 | David Hirschmann, President and Chief Executive Officer, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce |
| Mar. 12, 2014 | Dechert LLP |
| Mar. 12, 2014 | Jacob Frydman, Chairman & CEO, United Realty Trust Incorporated, New York, New York |
| Mar. 12, 2014 | Steven Morrison, Associate Counsel, LPL Financial LLC |
| Mar. 12, 2014 | Thomas F. Price, Managing Director, Securities Industry and Financial Markets Association (SIFMA) |
| Mar. 11, 2014 | Scott Ilgenfritz, Immediate Past-President, Public Investors Arbitration Bar Association (PIABA), Tampa, Florida |
| Feb. 28, 2014 | Michael Crimmins, Chief Executive Officer/Managing Director, KBS Capital Advisors LLC |
| Feb. 28, 2014 | Jeff Johnson, Chief Executive Officer, Dividend Capital Diversified Property Fund Inc. |
| Feb. 14, 2014 | Steven A. Wechsler, President and CEO, National Association of Real Estate Investment Trusts |
| Feb. 11, 2014 | Mark Kosanke, President, Real Estate Investment Securities Association |
| Feb. 5, 2014 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Feb. 5, 2014 | Mark Goldberg, Chairman, Investment Program Association |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 19, 2014 | Memorandum from the Division of Trading and Markets regarding a June 19, 2014, letter from FINRA |
| Apr. 9, 2014 | Memorandum from the Division of Trading and Markets regarding an April 2, 2014, meeting with the Investment Program Association |
http://www.sec.gov/comments/sr-finra-2014-006/finra2014006.shtml
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