Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules

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Date Received
Date Letter Type Commenter Name
Public Comment Robert W. Errett, Deputy Secretary, U.S. Securities and Exchange Commission
Public Comment Robert W. Errett, Deputy Secretary, U.S. Securities and Exchange Commission
Public Comment Victoria Crane, Associate General Counsel, FINRA, Washington, District of Columbia
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 19, 2016, conference call with representatives of the Financial Services Institute
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 10, 2016, conference call with representatives of the Committee of Annuity Insurers
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Allen Dickerson, Legal Director, Center for Competitive Politics, Alexandria, Virginia
Public Comment Allen Dickerson, Legal Director, Center for Competitive Politics
Public Comment Jason Torchinsky
Public Comment Victoria Crane, Associate General Counsel, Washington, District of Columbia
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Allen Dickerson, Legal Director, Center for Competitive Politics
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Gary A. Sanders, Counsel and Vice President, Government Relations, National Association of Insurance and Financial Advisors
Public Comment H. Christopher Bartolomucci, Bancroft PLLC, et al., on behalf of the New York Republican State Committee and the Tennessee Republican Party
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Judith M. Shaw, President, North American Securities Administrators Association (NASAA), and Maine Securities Administrator, Washington, District of Columbia
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Tamara K. Salmon, Assistant General Counsel, Investment Company Institute
Public Comment Patrick J. Moran, Houston, Texas

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-056
Release Number
34-76767
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