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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)

(Release No. 34-79215; File No. SR-FINRA-2016-039)

Jan. 19, 2017 Jeanette Wingler, Associate General Counsel, FINRA
Dec. 28, 2016 Rick Fleming, Invester Advocate, U.S. Securities and Exchange Commission
Dec. 5, 2016 Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Nov. 28, 2016 Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones
Nov. 28, 2016 Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Nov. 28, 2016 Jigar Gandhi, Counsel, American Council of Life Insurers
Nov. 28, 2016 David P. Bergers, General Counsel, LPL Financial LLC
Nov. 28, 2016 Richard Foster, Financial Services Roundtable, Washington, District of Columbia
Nov. 28, 2016 Mike Rothman, President, NASAA, and Minnesota Commissioner of Commerce
Nov. 28, 2016 Atasia Richardsonand Alyse Velger, Student Interns, and Elissa Germaine, Supervising Attorney; Pace Investor Rights Clinic, Elisabeth Haub School of Law, Pace University, White Plains, New York
Nov. 28, 2016 Lisa J. Bleier, Managing Director and Associate General Counsel, SIFMA, Washington, District of Columbia
Nov. 28, 2016 Marnie C. Lambert, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Nov. 28, 2016 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Nov. 28, 2016 Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network
Nov. 28, 2016 Nicole G. Iannarone, Director, Investor Advocacy Clinic, Assistant Clinical Professor, and David Hsu, Student Intern; Georgia State University College of Law
Nov. 28, 2016 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, and Alexander K. Brehan, Candidate for J.D., 2017; Cornell Law School, Ithaca, New York
Nov. 28, 2016 W. Alan Smith, Deputy General Counsel, Janney Montgomery Scott LLC, Philadelphia, Pennsylvania
Nov. 28, 2016 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors
Nov. 28, 2016 Eric Arnold and Clifford Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Nov. 28, 2016 Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Nov. 28, 2016 Gary Sanders, Counsel and Vice President, Government Relations, National Association of Insurance and Financial Advisors
Nov. 28, 2016 Tamara K. Salmon, Associate General Counsel, Investment Company Institute

Modified: 01/19/2017