Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories

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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 Kevin Zambrowicz, Managing Director & Associate General Counsel, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-017
Release Number
34-75394
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