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

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Date Received
Date Letter Type Commenter Name
Public Comment Michele Van Tassel, President, Association of Registration Management, New York, New York
Public Comment Daniel Kosowsky, Chief Compliance Officer, Morgan Stanley Smith Barney LLC, and Rose-Anne Richter, Chief Compliance Officer, Morgan Stanley & Co. LLC
Public Comment David Bellaire, Executive Vice President and General Counsel, Washington, District of Columbia
Public Comment Kevin Zambrowicz, Associate General Counsel & Managing Director, and Stephen Vogt, Assistant Vice President & Assistant General Counsel, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-015
Release Number
34-75154
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