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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
(Release No. 34-76675; File No. SR-FINRA-2015-054)
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| Aug.16, 2016 | Joseph P. Savage, Vice President & Counsel, Office of Regulatory Policy, FINRA |
| Jul. 15, 2016 | Kent Lund, General Counsel and CCO, SDR Capital Markets, Inc., Greenwood Village, Colorado |
| May 3, 2016 | Anonymous |
| Apr. 8, 2016 | Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Solutions |
| Jan. 22, 2016 | Peter W. LaVigne, Esq., Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association |
| Jan. 15, 2016 | Judith M. Shaw, President, North American Securities Administrators Association (NASAA), and Maine Securities Administrator, Washington, District of Columbia |
| Jan. 13, 2016 | Sajan K. Thomas, President, and Stephen J. Myott, Chief Compliance Officer, Thomas Capital Group, Inc. |
| Jan. 13, 2016 | Richard A. Murphy, North Bridge Capital LLC, Boston, Massachusetts |
| Jan. 13, 2016 | Michael S. Quinn, Member and CCO, Q Advisors |
| Jan. 13, 2016 | Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC |
| Jan. 13, 2016 | Lisa Roth, President, Monahan & Roth, LLC |
| Jan. 13, 2016 | Steven Jafarzadeh, CAIA, CCO, Stonehaven, New York |
| Jan. 13, 2016 | Dan Glusker, Perkins Fund Marketing LLC |
| Jan. 13, 2016 | Ron Oldenkamp, President, Genesis Marketing Group |
| Jan. 13, 2016 | Mark Fairbanks, President, Foreside Distributors |
| Jan. 13, 2016 | Timothy Cahill, President, Compass Securities Corporation |
| Jan. 12, 2016 | Frank P. L. Minard , Managing Partner, XT Capital Partners, LLC |
| Jan. 12, 2016 | Donna B. DiMaria, Chairman of the Board of Directors, and Lisa Roth, Board of Directors, Third Party Marketers Association |
| Jan. 6, 2016 | Arne Rovell, Coronado Investments, LLC |
| Dec. 30, 2015 | Daniel H. Kolber,, President/CEO, Intellivest Securities, Inc. |
| Dec. 29, 2015 | Roger W. Mehle, Washington, District of Columbia |
http://www.sec.gov/comments/sr-finra-2015-054/finra2015054.shtml
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