Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Sarah Kwak, Associate General Counsel & Office of General Counsel, FINRA
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Eversheds Sutherland LLP
Public Comment Hugh D. Berkson, President, Public Investors Arbitration Bar Association
Public Comment Kosha Dalal, Vice President and Associate General Counsel, FINRA
Public Comment Sandip Khosla, General Counsel, Two Sigma Securities, LLC
Public Comment Jennifer L. Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC, et al.
Public Comment Mark Seffinger, Chief Compliance Officer, LPL Financial
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Christopher A. Iacovella, Chief Executive Officer, American Securities Association
Public Comment The Huntington Investment Company Compliance Team
Public Comment Andrew F. Viles, Chief Legal Officer, Canaccord Genuity LLC
Public Comment Barbara Armeli, Managing Director, Chief Compliance Officer, Charles Schwab & Co., Inc. and Lynn Konop, Managing Director, Chief Compliance Officer, TD Ameritrade, Inc.
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Eversheds Sutherland LLP
Public Comment Gail Merken, Chief Compliance Officer, Fidelity Brokerage Services LLC; Janet Dyer, Chief Compliance Officer, National Financial Services LLC; and John McGinty, Chief Compliance Officer, Fidelity Distributor Company LLC
Public Comment Gavin Lucca, Manager, Branch Audit, Commonwealth Financial Network
Public Comment Jim McHale, Executive Vice President, Head of WIM Compliance, Wells Fargo & Company and Robert Mulligan, Executive Vice President, Global Head of CIB Compliance, Wells Fargo & Company
Public Comment Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group
Public Comment Kevin Zambrowicz, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association and Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Mark Sefflnger, Chief Compliance Officer, LPL Financial
Public Comment Melanie Senter Lubin, North American Securities Administrators Association, Inc.
Public Comment Michael S. Edmiston, Public Investors Advocate Bar Association
Public Comment Seth Miller, General Counsel, Chief Risk Officer, Cambridge Investment Research, Inc.
Public Comment Suzy Auletta, SVP, Chief Compliance Officer Chief Compliance Officer, Raymond James Financial Services, Inc. and Shawn Barko, SVP, Chief Compliance Officer, Raymond James & Associates, Inc.
Public Comment Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc.
Public Comment Jennifer A. Brunner, Chief Compliance Officer, ACA Foreside; Susan K. Moscaritolo, Chief Compliance Officer, ACA Foreside; Nanette K. Chern, Chief Compliance Officer, ACA Foreside; and Susan L. La Fond, Chief Compliance Officer, ACA Foreside

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2022-019
Release Number
34-95379
Related Materials
How to submit comments