Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 1011(p) ("Specified Risk Event")

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Date Received
Date Letter Type Commenter Name
Public Comment Afshin Atabaki, Special Advisor and Associate General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment John S. Watts, Senior Vice President & Chief Counsel, PFS Investments Inc.
Public Comment Carrie L. Chelko, Chief Compliance Officer, Fidelity Investments, et al.
Public Comment Howard Spindel, Senior Managing Director; Peggy E. Chait, Managing Director, Integrated Solutions
Public Comment Kevin Zambrowicz, Managing Director and Associate General Counsel; Bernard V. Canepa, Vice President and Assistant General Counsel, SIFMA
Public Comment Lisa Hopkins, NASAA President, General Counsel and Senior Deputy Commissioner of Securities, West Virginia
Public Comment James (Jim) Rabenstine, Vice President, NFS Chief Compliance Officer, Nationwide Office of the Chief Legal Officer
Public Comment Fred T. Greene, CIMA, Executive Vice President, Portfolio Manager, Woodforest Wealth Strategies
Public Comment Brian Egwele
Public Comment Anonymous

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2021-015
Release Number
34-92183
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