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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

(Release No. 34-78573; File No. SR-FINRA-2016-032)


Submitted Comments

(Click here for meetings with SEC officials)
Nov. 14, 2016 Alexander Ellenberg, Associate General Counsel, FINRA
Nov. 14, 2016 Alexander Ellenberg, Associate General Counsel, FINRA
Nov. 7, 2016 Memorandum regarding the Recommendation of the Investor Advocate
Sep. 19, 2016 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Sep. 9, 2016 Mary Lou Von Kaenel, Managing Director, Financial Information Forum
Sep. 9, 2016 Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division; SIFMA
Sep. 9, 2016 Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O’Brien, Chief Compliance Officer, National Financial Services, LLC
Sep. 9, 2016 Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Sep. 9, 2016 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC
Sep. 8, 2016 Scott A. Eichhorn, Practitioner in Residence & Supervising Attorney, et al., Investor Rights Clinic, University of Miami School of Law
Sep. 8, 2016 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Sep. 7, 2016 Hugh D. Berkson, President, Public Investors Arbitration Bar Association, Norman, Oklahoma

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Nov. 14, 2016 Memorandum from the Office of Municipal Securities regarding a November 1, 2016, meeting with representatives of SIFMA

 

http://www.sec.gov/comments/sr-finra-2016-032/finra2016032.shtml

Modified: 11/17/2016