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

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph P. Savage Direct, Vice President & Counsel, Office of General Counsel, Financial Industry Regulatory Authority
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment Emily C. Micale, Esq., Director Federal Regulatory Affairs, Insured Retirement Institute
Public Comment Eversheds Sutherland (US) LLP on behalf of Eric Arnold and Clifford Kirsch, The Committee of Annuity Insurers
Public Comment Kristen Malinconico, Director, U.S. Chamber of Commerce's Center for Capital Markets Competitiveness
Public Comment Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institution
Public Comment Samuel B. Edwards, President, Public Investors Advocate Bar Association
File Number
SR-FINRA-2020-007
Release Number
34-88422
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