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Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT

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Date Sort descending	Letter Type	Commenter Name
Dec. 18, 2017	Public Comment	Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Nov. 2, 2017	Public Comment	William H. Hebert, Managing Director, Financial Information Forum
Oct. 11, 2017	Public Comment	Brant K. Brown, Associate General Counsel, FINRA
Sept. 29, 2017	Public Comment	Ellen Greene, Managing Director, and Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA
Sept. 29, 2017	Public Comment	William H. Hebert, Managing Director, Financial Information Forum
Sept. 27, 2017	Public Comment	Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Sept. 27, 2017	Public Comment	William H. Hebert, Managing Director, Financial Information Forum
Aug. 28, 2017	Public Comment	Brant K. Brown, Associate General Counsel, FINRA
Aug. 7, 2017	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a July 27, 2017, meeting with representatives of the Financial Information Forum et al.
June 23, 2017	Public Comment	Ellen Greene, Managing Director, and Theodore R. Lazo, Managing Director and Associate General Council, SIFMA
June 22, 2017	Public Comment	Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
June 22, 2017	Public Comment	Marc R. Bryant, Senior Vice President, Deputy General Counsel, Fidelity Investments
June 22, 2017	Public Comment	William H. Hebert, Managing Director, Financial Information Forum

File Number

SR-FINRA-2017-013

Release Number

34-80783

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