Comments on FINRA Rulemaking
Notice of Filing of
a Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital
Acquisition Broker (CAB) Rules in Response to Regulation Best Interest
[Release No. 34-88422; File No. SR-FINRA-2020-007]
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| May 13, 2020 | Joseph P. Savage Direct, Vice President & Counsel, Office of General Counsel, Financial Industry Regulatory Authority |
| Apr. 20, 2020 | Christopher A. Iacovella, Chief Executive Officer, American Securities Association |
| Apr. 15, 2020 | Emily C. Micale, Esq., Director Federal Regulatory Affairs, Insured Retirement Institute |
| Apr. 15, 2020 | Kristen Malinconico, Director, U.S. Chamber of Commerce’s Center for Capital Markets Competitiveness |
| Apr. 15, 2020 | Samuel B. Edwards, President, Public Investors Advocate Bar Association |
| Apr. 15, 2020 | Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institution |
| Apr. 15, 2020 | Eversheds Sutherland (US) LLP on behalf of Eric Arnold and Clifford Kirsch, The Committee of Annuity Insurers |
