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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
(Release No. 34-73622; File No. SR-FINRA-2014-047)
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| May 5, 2015 | Philip Shaikun, Vice President and Associate General Counsel, FINRA, Washington, District of Columbia |
| Apr. 17, 2015 | William Beatty, President, North American Securities Administrators Association (NASAA) and Washington Securities Administrator, Washington , District of Columbia |
| Apr. 6, 2015 | Stephanie Nicolas, WilmerHale, on behalf of Barclays Capital Inc., et al. |
| Mar. 19, 2015 | Gil Mogavero, Managing Director and Chief Compliance Officer, JMP Securities |
| Dec. 19, 2014 | William Beatty, President, North American Securities Administrators Association (NASAA) and Washington Securities Administrator |
| Dec. 16, 2014 | Stephanie R. Nicolas, WilmerHale, on behalf of Barclays Capital Inc., et al. |
| Dec. 15, 2014 | Hugh D. Berkson, EVP/President-Elect, PIABA, Cleveland, Ohio |
| Dec. 15, 2014 | Kevin Zambrowicz, Managing Director & Associate General Counsel, and Sean Davy, Managing Director, SIFMA |
http://www.sec.gov/comments/sr-finra-2014-047/finra2014047.shtml
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