SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


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)

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

Modified: 08/17/2016