Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision)

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a November 15, 2023, virtual meeting with representative of the XML Financial Group
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 20, 2023 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a October 12, 2023 virtual meeting with representatives of LPL Financial
Public Comment Kosha Dalal, Vice President and Associate General Counsel, Office of General Counsel, FINRA
Meeting with SEC Officials Memorandum from the Office Of the Investor Advocate regarding an August 10, 2023 virtual meeting with representatives of North American Securities Administrators Association
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments
Public Comment Jim McHale, Executive Vice President, Head of WIM Compliance and Peter Macchio, Executive Vice President, Head of CIB Compliance
Public Comment Mark Seffinger, Chief Compliance Officer, LPL Financial
Public Comment Thomas M. Merritt, Deputy General Counsel, Virtu Financial, Inc.
Public Comment Hugh Berkson, President, Public Investors Advocate Bar Association
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Jennifer Szaro, CRCP, Chief Compliance Officer, XML Securities, LLC, et al.
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc.
Public Comment Sarah Kwak, Associate General Counsel, Office of General Counsel, FINRA
Public Comment Michael Friedman, Head of Broker Dealer, Albert Securities, LLC
Public Comment Compliance Officer, SEB Securities, Inc.,
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 31, 2023, meeting with representatives of NASAA
Public Comment Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association
Public Comment Mark Segginger, Chief Compliance Officer, LPL Financial
Public Comment Scott C. Kursman, Managing Director & Chief Compliance Officer, Citigroup Global Markets, Inc.
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association, Inc.
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry and Financial Markets Association
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Eversheds Sutherland LLP
Public Comment Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments; Janet Dyer, Chief Compliance Officer, National Financial Services LLC; and John McGinty, Chief Compliance Officer, Fidelity Distributors Company LLC
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Theresa J. Manderski, SVP, Chief Compliance Officer - BD, Davenport & Company LLC
Public Comment Hugh Berkson, President, Public Investors Advocate Bar Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2023-006
Release Number
34-97237
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