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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)

(Release No. 34-72444; File No. SR-FINRA-2014-028)

Sep. 7, 2014 Suzanne Shatto
Jul. 17, 2014 Holly H. Smith, Sutherland Asbill & Brennan LLP, on behalf of The Committee of Annuity Insurers
Jul. 17, 2014 Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC





Modified: 09/09/2014