Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment David T. Bellaire, Executive Vice President, Financial Services Institute
Public Comment Afshin Atabaki, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment John Astarita and Olivia Darius, Student Interns, and Elissa Germaine, Esq., Supervising Attorney, Pace Investor Rights Clinic, White Plains, New York
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, SIFMA
Public Comment Michele Van Tassel, President, Association of Registration Management, New York, New York
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Public Comment Kyle Ortiz and Kathryn Hespe, Law Student Clinicians, Michigan State University College of Law Investor Advocacy Clinic
Public Comment William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Commissioner
Public Comment William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment Joseph C. Peiffer, Executive Vice-President/President-Elect, Public Investors Arbitration Bar Association
Public Comment Suzanne Shatto, Mountlake Terrace, Washington

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2014-038
Release Number
34-73238
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