Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 151

Filter comments

Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 1, 2014, meeting with representatives of Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers
Public Comment Peggy L. Ho, Chief of Staff Legal & Government Relations, LPL Financial LLC
Public Comment Lance McGinnis
Public Comment Brian S. Hamburger, President and CEO, and Daniel A. Bernstein, Director of Research + Development, MarketCounsel, LLC, Englewood, New Jersey
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Eric Arnold and Cliff Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors (NAIFA)
Public Comment Kathleen A. Dedenbach, Vice President & Group Counsel, Ameriprise Financial Services, Inc.
Public Comment Thomas Anderson, Chief Compliance Officer, Cambridge Investment Research, Inc.
Public Comment Andrew Daniels, Managing Principal, Business Development, Commonwealth Financial Network, Waltham, Massachusetts
Public Comment Anne Cooney, General Counsel, Morgan Stanley Wealth Management
Public Comment Brent H. Taylor, General Counsel, Americas and Wealth Management Americas, UBS Financial Services Inc.
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network
Public Comment David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA
Public Comment Jesse D. Hill, Principal, Government and Regulatory Relations, Edward Jones
Public Comment Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC
Public Comment Nina S. McKenna, General Counsel, Cetera Financial Group, Inc., El Segundo, California
Public Comment Richard Foster, Vice President and Senior Counsel for Legal and Regulatory Affairs, Financial Services Roundtable, Washington, District of Columbia
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, St. Louis, Missouri
Public Comment Ronald J. Kruszewski, Chairman, President and Chief Executive Officer, Stifel Nicolaus & Co. Inc.
Public Comment William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment Maria J. Seedner, Corporate Counsel, CUSO Financial Services, L.P.
Public Comment Ann Doty-Mitchell
Public Comment Rick Dahl, SVP/CCO, Sorrento Pacific Financial
Public Comment Michael Finnan
Public Comment Bradford Tharp
Public Comment David L. Darner
Public Comment Joseph C. Peiffer, Executive Vice-President/President-Elect, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-010
Release Number
34-71786
How to submit comments