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Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Address Brokers with a Significant History of Misconduct

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Date Sort descending	Letter Type	Commenter Name
Dec. 4, 2020	Meeting with SEC Officials	Memorandum from the Division of Trading and Markets regarding a December 4, 2020 meeting with representatives of the Financial Industry Regulatory Authority, Inc.
Oct. 7, 2020	Public Comment	Michael Garawski, Associate General Counsel, FINRA
Aug. 3, 2020	Public Comment	Aaron D. Lebenta, Esquire, Parsons Behle Latimer, P.C.
July 8, 2020	Public Comment	Michael Garawski, Associate General Counsel, FINRA
June 19, 2020	Public Comment	Lev Bagramian, Senior Securities Policy Advisor, Better Markets
May 5, 2020	Public Comment	Samuel B. Edwards, President, Public Investors Advocate Bar Association
May 5, 2020	Public Comment	William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic
April 30, 2020	Public Comment	Prof. Lisa Miller, Esq., FINRA Public Arbitrator/Chair
April 28, 2020	Public Comment	Andrew R. Harvin

Last Reviewed or Updated: Dec. 18, 2025

File Number

SR-FINRA-2020-011

Release Number

34-88600

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