Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a November 21, 2019, telephone call with Stuart Kaswell
Public Comment Jeanette Wingler, Associate General Counsel, FINRA
Public Comment Jeanette Wingler, Associate General Counsel, FINRA
Public Comment Aseel M. Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Public Comment Stuart J. Kaswell, Law Office of Stuart J. Kaswell, LLC
Public Comment Joseph McLaughlin and W. Hardy Callcott, Sidley Austin LLP
Public Comment Jeanette Wingler, Associate General Counsel, FINRA
Public Comment Davis Polk & Wardwell
Public Comment Aseel Rabie, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Robert E. Buckholz, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association
Public Comment Eversheds Sutherland (US) LLP, on behalf of the Committee of Annuity Insurers
Public Comment Stuart J. Kaswell
Public Comment Suzanne Rothwell, Managing Member, Rothwell Consulting, LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2019-012
Release Number
34-85715
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