Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service

[Release No. 34-85488; File No. SR-FINRA-2019-008]

Submitted Comments

(Click here for meetings with SEC officials)
Apr. 24, 2020 Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA and Alexander Ellenberg, Associate General Counsel, FINRA
Mar. 16, 2020 Bloomberg
Mar. 16, 2020 Hal S. Scott, President, Committee on Capital Markets Regulations
Mar. 16, 2020 FINRA
Mar. 13, 2020 David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Nov. 27, 2019 Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Oct. 29, 2019 Alexander Ellenberg, Associate General Counsel, FINRA
Oct. 25, 2019 Tyler Gellasch, Executive Director, Healthy Markets Association
Oct. 24, 2019 Tom Quaadman, Executive Vice President, Capital Markets Competitiveness, U.S. Chamber of Commerce
Oct. 24, 2019 Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Oct. 24, 2019 Christopher B. Killian, Managing Director, Securitization and Credit Marke, SIFMA
Oct. 23, 2019 David Burton, Senior Fellow, Economic Policy, The Heritage Foundation
Oct. 22, 2019 John L. Thornton, Co-chair, et al., Committee on Capital Markets Regulation
Oct. 3, 2019 Alexander Ellenberg, Associate General Counsel, FINRA
Jul. 29, 2019 Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness, US Chamber of Commerce
Jul. 29, 2019 David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Jul. 29, 2019 Tyler Gellasch, Executive Director, Healthy Markets Association
Jul. 29, 2019 Christopher B. Killian, Managing Director Securitization and Credit Market, SIFMA
Jul. 29, 2019 Gregory Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Jul. 25, 2019 John L. Thornton, Co-Chair, et al., Committee on Capital Market Regulation
Jul. 1, 2019 Greg Babyak, Global Head of Regulatory Affairs, Bloomberg, L.P.
Jun. 11, 2019 Recommendation of the SEC Fixed Income Market Structure Advisory Committee
May 24, 2019 John Plansky, Executive Vice President and Chief Executive Officer, Charles River Development
May 17, 2019 Lawrence Harris, Ph.D., CFA, Fred V. Keenan Chair in Finance, USC Marshall School of Business
May 15, 2019 Larry Tabb, Tabb Group
Apr. 29, 2019 Christopher B. Killian, Managing Director, Securitization and Corporate Credit, SIFMA
Apr. 29, 2019 Marshall Nicholson, President, Creditex Securities Corporation, and Thomas S. Vales, Chief Executive Officer, TMC Bonds, L.L.C.; ICE Bonds
Apr. 29, 2019 Greg Babyak, Global Head of Regulatory Affairs, Bloomberg L.P.
Apr. 29, 2019 Tyler Gellasch, Executive Director, Healthy Markets Association
Apr. 29, 2019 Lynn Martin, President and COO, ICE Data Services
Apr. 29, 2019 Tom Quaadman, Executive Vice President, U.S. Chamber of Commerce
Apr. 29, 2019 David R. Burton, Senior Fellow in Economic Policy, The Heritage Foundation
Apr. 29, 2019 Salman Banaei, Executive Director, IHS Markit
Apr. 29, 2019 Cathy Scott, Director, Fixed Income Forum, On behalf of The Credit Roundtable

Meetings with SEC Officials

(Click here for submitted comments from the public)
Aug. 30, 2019 Memorandum from the Office of Commissioner Hester M. Peirce regarding an April 25, 2019, meeting with a representative of the Heritage Foundation
Jun. 12, 2019 Memorandum from the Division of Trading and Markets regarding a June 12, 2019, phone call with a representative of Bank of America Merrill Lynch