Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Michael Garawski, Associate General Counsel, Financial Industry Regulatory Authority
Public Comment Michael Garawski, Associate General Counsel, OGC Regulatory Practice & Policy, Financial Industry Regulatory Authority, Inc.
Public Comment Andrew Hartnett, NASAA President and Deputy Administrator for Securities, Iowa Insurance Division
Public Comment William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic and Erik Olson, Cornell Law School, Class of 2024
Public Comment Steven B. Caruso
Public Comment Michael Garawski, Associate General Counsel, FINRA Office of General Counsel, Financial Industry Regulatory Authority
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Pubic Investors Advocate Bar Association
Public Comment Nicole G. Iannarone, Drexel University, Thomas R. Kline School of Law, and Christine Lazaro, St. John's University School of Law
Public Comment Francis J. Skinner, Esq., CLO

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2022-015
Release Number
34-95092
Related Materials
How to submit comments