Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook

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Date Received
Date Letter Type Commenter Name
Public Comment Laura Crosby-Brown
Public Comment Michael J. Hogan, President and Chief Executive Officer, FOLIOfn Investments, Inc.
Public Comment Sutherland Asbill & Brennan LLP
Public Comment Joseph C. Peiffer, President, PIABA, Norman, Oklahoma
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-2015-029
Release Number
34-75655
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