Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements

[Release No. 34-80371; File No. SR-FINRA-2017-007]

Submitted Comments

Jul. 21, 2017 Michele Van Tassel, President, Association of Registration Management
Jun. 26, 2017 Afshin Atabaki, Associate General Counsel, FINRA
Jun. 5, 2017 Daniel Kosowsky, Chief Compliance Officer, Morgan Stanley & Co. LLC, and Rose-Anne Richter, Chief Compliance Officer, Morgan Stanley Smith Barney LLC
May 1, 2017 Eric Arnold and Clifford Kirsch, Eversheds Sutherland (US) LLP, on behalf of the Committee of Annuity Insurers
May 1, 2017 Erwin J. Dugasz, Jr., Managing Counsel, Office of the Chief Compliance Officer, Nationwide Financial Services, Inc.
May 1, 2017 Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services LLC, et al.
May 1, 2017 Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors
May 1, 2017 Mike Rothman, President, North American Securities Administrators Association
May 1, 2017 Kevin Zambrowicz, Managing Director & Associate General Counsel, SIFMA
May 1, 2017 Michele Van Tassel, President, Association of Registration Management (ARM)
May 1, 2017 David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
Apr. 28, 2017 Jeanne Wolf, Executive Director, CFA Society Boston
Apr. 28, 2017 Philip J. Taylor, Chair, New York Society of Security Analysts
Apr. 26, 2017 Douglas Jackman, CFA, Chairman, and Shannon Curley, CFA, Chief Executive Officer; CFA Society Chicago
Apr. 20, 2017 Matthew O'Hara, Vice President Board of Directors, CFA Society, San Francisco
Apr. 18, 2017 John Skinner, President, Atlanta Society of Finance and Investment Professionals
Apr. 10, 2017 Pat Swanson, President, CFA Societies Texas
Apr. 7, 2017 Roman Iwachiw, CFA Society of Washington DC
Apr. 4, 2017 Nathaniel Downes, CFA Society Los Angeles
Mar. 30, 2017 Inigo J. Bengoechea, CFA, Director, Program Recognition, and Daniel J. Larocco, CFA, Manager, Program Recognition; CFA Institute