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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)
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(Click here for meetings with SEC officials)
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| 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)
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| 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
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