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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration

(Release No. 34-77844; File No. SR-FINRA-2016-015)


Jul. 15, 2016 Margo Hassan, Associate Chief Counsel, FINRA
Jun. 26, 2016 Bev Kennedy, Oakville Ont, Canada
Jun. 13, 2016 Hugh D. Berkson, Public Investors Arbitration Bar Association, Norman, Oklahoma
Jun. 13, 2016 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute, Inc.
Jun. 11, 2016 Thomas E. Wall, Attorney at law, Rancho Palos Verdes, California
Jun. 9, 2016 Kevin Carroll, Managing Director and Associate General Counsel, SIFMA
Jun. 7, 2016 James L. Komie, Schuyler, Roche & Crisham, P.C., Chicago, Illinois
May 23, 2016 George H. Friedman, Adjunct Professor of Law, Fordham Law School, New York, New York
May 18, 2016 Steven B. Caruso, Maddox Hargett & Caruso, P.C., New York, New York
May 9, 2016 Leonard Steiner, Steiner & Libo PC, Beverly Hills, California

 

 

http://www.sec.gov/comments/sr-finra-2016-015/finra2016015.shtml

Modified: 07/20/2016