Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

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Date Received
Date Letter Type Commenter Name
Public Comment Michael Garawski, Associate General Counsel, FINRA Office of General Counsel, Associate General Counsel
Public Comment Michael Garawski, Associate General Counsel, FINRA Office of General Counsel
Public Comment Kevin M. Carroll, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment David P. Meyer, President, Public Investors Advocate Bar Association
Public Comment Lev Bagramian, Senior Securities Policy Advisor, Better Markets and Michael J. Hughes, Program & Research Assistant, Better Markets
Public Comment Lisa Hopkins, President, General Counsel and Senior Deputy Commissioner of Securities, West Virginia, North American Securities Administrators Association, Inc.
Public Comment Ruben Huertero, Legal Intern, Securities Arbitration Clinic St. Vincent DePaul Legal Program, Inc. and Christine Lazaro, Director of the Securities Arbitration Clinic and Professor of Clinical Legal Education
Public Comment Andrew R. Harvin, Doyle, Restrepo, Harvin & Robbins, L.L.P
Public Comment Richard J. Carlesco Jr., CEO, IBN Financial Services, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2020-041
Release Number
34-90527
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