Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph P. Savage, Vice President & Counsel, Office of Regulatory Policy, FINRA
Public Comment Kent Lund, General Counsel and CCO, SDR Capital Markets, Inc., Greenwood Village, Colorado
Public Comment Anonymous
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Solutions
Public Comment Peter W. LaVigne, Esq., Chair, Securities Regulation Committee, Business Law Section, New York State Bar Association
Public Comment Judith M. Shaw, President, North American Securities Administrators Association (NASAA), and Maine Securities Administrator, Washington, District of Columbia
Public Comment Dan Glusker, Perkins Fund Marketing LLC
Public Comment Howard Spindel, Senior Managing Director, and Cassondra E. Joseph, Managing Director, Integrated Management Solutions USA LLC
Public Comment Lisa Roth, President, Monahan & Roth, LLC
Public Comment Mark Fairbanks, President, Foreside Distributors
Public Comment Michael S. Quinn, Member and CCO, Q Advisors
Public Comment Richard A. Murphy, North Bridge Capital LLC, Boston, Massachusetts
Public Comment Ron Oldenkamp, President, Genesis Marketing Group
Public Comment Sajan K. Thomas, President, and Stephen J. Myott, Chief Compliance Officer, Thomas Capital Group, Inc.
Public Comment Steven Jafarzadeh, CAIA, CCO, Stonehaven, New York
Public Comment Timothy Cahill, President, Compass Securities Corporation
Public Comment Donna B. DiMaria, Chairman of the Board of Directors, and Lisa Roth, Board of Directors, Third Party Marketers Association
Public Comment Frank P. L. Minard , Managing Partner, XT Capital Partners, LLC
Public Comment Arne Rovell, Coronado Investments, LLC
Public Comment Daniel H. Kolber,, President/CEO, Intellivest Securities, Inc.
Public Comment Roger W. Mehle, Washington, District of Columbia

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-054
Release Number
34-76675
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