Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)

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Date Received
Date Letter Type Commenter Name
Public Comment Kosha K. Dalal, Associate Vice President and Associate General Counsel, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment Catherine T. Dixon, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Public Comment Kevin Zambrowicz, Associate General Counsel & Managing Director, SIFMA
Public Comment Paul J. Tolley, Senior Vice President, Chief Compliance Officer, Commonwealth Financial Network
Public Comment William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Commissioner
Public Comment Peter J. Chepucavage, Esq., GC Plexus Consulting Group, Washington, District of Columbia
Public Comment William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-037
Release Number
34-73210
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