Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)

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Date Received
Date Letter Type Commenter Name
Public Comment Jeanette Wingler, Assistant General Counsel, FINRA, Washington, District of Columbia
Public Comment Eric Chartan, Associate General Counsel, HD Vest Investment Services
Public Comment Carrie L. Chelko, Chief Counsel, Lincoln Financial Network
Public Comment David P. Bergers, General Counsel, LPL Financial LLC
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute, Inc.
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Public Comment Scott Curtis, President, Raymond James Financial Services, Inc.
Public Comment Stephen Vogt, Assistant Vice President & Assistant General Counsel and Kevin Zambrowicz, Associate General Counsel & Managing Director, SIFMA
Public Comment Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Tash Elwyn, President, Private Client Group, Raymond James & Associates, Inc.
Public Comment Elizabeth K. King, General Counsel & Corporate Secretary, New York Stock Exchange
Public Comment Paul Tolley, Chief Compliance Officer, Commonwealth Financial Network
Public Comment Alexandra Hughes, Student Intern, and Nicole Iannarone, Assistant Clinical Professor, Georgia State University College of Law Investor Advocacy Clinic

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-057
Release Number
34-76757
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