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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
(Release No. 34-76767; File No. SR-FINRA-2015-056)
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(Click here for meetings with SEC officials)
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| Jul. 11, 2016 | Robert W. Errett, Deputy Secretary, U.S. Securities and Exchange Commission |
| Jul. 11, 2016 | Robert W. Errett, Deputy Secretary, U.S. Securities and Exchange Commission |
| Jul. 6, 2016 | Victoria Crane, Associate General Counsel, FINRA, Washington, District of Columbia |
| Apr. 27, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Apr. 21, 2016 | Allen Dickerson, Legal Director, Center for Competitive Politics, Alexandria, Virginia |
| Apr. 15, 2016 | Allen Dickerson, Legal Director, Center for Competitive Politics |
| Apr. 12, 2016 | Jason Torchinsky |
| Mar. 28, 2016 | Victoria Crane, Associate General Counsel, Washington, District of Columbia |
| Feb. 5, 2016 | Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Jan. 20, 2016 | Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Jan. 20, 2016 | Allen Dickerson, Legal Director, Center for Competitive Politics |
| Jan. 20, 2016 | Judith M. Shaw, President, North American Securities Administrators Association (NASAA), and Maine Securities Administrator, Washington, District of Columbia |
| Jan. 20, 2016 | Gary A. Sanders, Counsel and Vice President, Government Relations, National Association of Insurance and Financial Advisors |
| Jan. 20, 2016 | Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma |
| Jan. 20, 2016 | H. Christopher Bartolomucci, Bancroft PLLC, et al., on behalf of the New York Republican State Committee and the Tennessee Republican Party |
| Jan. 20, 2016 | David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute |
| Jan. 6, 2016 | Tamara K. Salmon, Assistant General Counsel, Investment Company Institute |
| Dec. 29, 2015 | Patrick J. Moran, Houston, Texas |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 19, 2016 | Memorandum from the Division of Trading and Markets regarding a May 19, 2016, conference call with representatives of the Financial Services Institute |
| May 17, 2016 | Memorandum from the Division of Trading and Markets regarding a May 10, 2016, conference call with representatives of the Committee of Annuity Insurers |
http://www.sec.gov/comments/sr-finra-2015-056/finra2015056.shtml
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