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

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

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2017-007
Release Number
34-80371
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