Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

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Date Received
Date Letter Type Commenter Name
Public Comment Paul J. Tolley, Chief Compliance Officer, Commonwealth Financial Network
Public Comment Kevin Zambrowicz, Associate General Counsel & Managing Director, SIFMA

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2018-040
Release Number
34-84788
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