Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive

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Date Received
Date Letter Type Commenter Name
Public Comment Mignon McLemore, Assistant General Counsel, FINRA
Public Comment Robin M. Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute
Public Comment Samuel B. Edwards, President, Public Investors Arbitration Bar Association
Public Comment Kevin Carroll, Managing Director and Associate General Counsel, SIFMA
Public Comment Benjamin P. Edwards, Associate Professor of Law, University of Nevada, Las Vegas
Public Comment Steven B. Caruso, Maddox Hargett & Caruso, P.C.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2019-027
Release Number
34-87557
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