|
|
 |
Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
(Release No. 34-78026; File No. SR-FINRA-2016-018)
|
| Sep. 1, 2016 | Joseph P. Savage, Vice President & Counsel, Office of Regulatory Policy, FINRA, Washington, District of Columbia |
| Jul. 7, 2016 | Erica A. Green, Vice President & General Counsel, FOLIOfn, Inc. |
| Jul. 6, 2016 | Alexander C. Gavis, Senior Vice President & Deputy General Counsel, Fidelity Investments |
| Jul. 6, 2016 | Timothy Cameron, Esq., Head, and Lindsey Weber Keljo, Vice President & Assistant General Counsel, Asset Management Group, SIFMA |
| Jul. 6, 2016 | Dorothy Donohue, Deputy General Counsel, Investment Company Institute |
| Jul. 5, 2016 | Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma |
http://www.sec.gov/comments/sr-finra-2016-018/finra2016018.shtml
|
