Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Extend the Time to Complete Office Inspections under FINRA Rule 3110 (Supervision)

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Date Received
Date Letter Type Commenter Name
Public Comment Anthony Primiano, Managing Director, WM US Chief Compliance Officer, and Lauren Munfa, Managing Director, IB US Chief Compliance Officer
Public Comment Brad Jung, President, Russell Investments Financial Services, LLC and Richard Smirl, President, Russell Investments Implementation Services, LLC
Public Comment Carrie L. Chelko and Norman L. Ashkenas, Chief Compliance Officers, Fidelity Brokerage Services LLC and National Financial
Public Comment David M. Williams, Chief Compliance Officer, Wells Fargo Advisors
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, SIFMA
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Matthew Sugden, VP, Compliance, Commonwealth Financial Network
Public Comment Will H. Fuller, EVP, President, Annuities, Lincoln Financial Distributors & Lincoln Financial Network
Public Comment Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute
Public Comment Seth A. Miller, General Counsel, Executive Vice President, Chief Risk Officer, Cambridge Investment Research, Inc.
Public Comment Steve Youhn, Chief Compliance Officer, ProEquities, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2020-019
Release Number
34-89188
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