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)

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Date Received
Date Letter Type Commenter Name
Public Comment Jeanette Wingler, Associate General Counsel, FINRA
Public Comment Rick Fleming, Invester Advocate, U.S. Securities and Exchange Commission
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment 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
Public Comment Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network
Public Comment Catherine J. Weatherford, President & CEO, Insured Retirement Institute
Public Comment David P. Bergers, General Counsel, LPL Financial LLC
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Eric Arnold and Clifford Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers
Public Comment Gary Sanders, Counsel and Vice President, Government Relations, National Association of Insurance and Financial Advisors
Public Comment Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones
Public Comment Jigar Gandhi, Counsel, American Council of Life Insurers
Public Comment Lisa J. Bleier, Managing Director and Associate General Counsel, SIFMA, Washington, District of Columbia
Public Comment Marnie C. Lambert, President, Public Investors Arbitration Bar Association, Norman, Oklahoma
Public Comment Michael Nicholas, Chief Executive Officer, Bond Dealers of America
Public Comment Mike Rothman, President, NASAA, and Minnesota Commissioner of Commerce
Public Comment Nicole G. Iannarone, Director, Investor Advocacy Clinic, Assistant Clinical Professor, and David Hsu, Student Intern; Georgia State University College of Law
Public Comment Richard Foster, Financial Services Roundtable, Washington, District of Columbia
Public Comment Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors
Public Comment Tamara K. Salmon, Associate General Counsel, Investment Company Institute
Public Comment W. Alan Smith, Deputy General Counsel, Janney Montgomery Scott LLC, Philadelphia, Pennsylvania
Public Comment 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
File Number
SR-FINRA-2016-039
Release Number
34-79215
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