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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
(Release No. 34-75154; File No. SR-FINRA-2015-015)
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| Jul. 28, 2015 | Michele Van Tassel, President, Association of Registration Management, New York, New York |
| Jul. 8, 2015 | David Bellaire, Executive Vice President and General Counsel, Washington, District of Columbia |
| Jul. 8, 2015 | Daniel Kosowsky, Chief Compliance Officer, Morgan Stanley Smith Barney LLC, and Rose-Anne Richter, Chief Compliance Officer, Morgan Stanley & Co. LLC |
| Jul. 7, 2015 | Kevin Zambrowicz, Associate General Counsel & Managing Director, and Stephen Vogt, Assistant Vice President & Assistant General Counsel, SIFMA |
http://www.sec.gov/comments/sr-finra-2015-015/finra2015015.shtml
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