Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Alexander Ellenberg, Associate General Counsel, FINRA
Public Comment Alexander Ellenberg, Associate General Counsel, FINRA
Meeting with SEC Officials Memorandum from the Office of Municipal Securities regarding a November 1, 2016, meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum regarding the Recommendation of the Investor Advocate
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Public Comment Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Public Comment Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Public Comment Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division; SIFMA
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment Scott A. Eichhorn, Practitioner in Residence & Supervising Attorney, et al., Investor Rights Clinic, University of Miami School of Law
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2016-032
Release Number
34-78573
How to submit comments