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
Public Comment Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group, MML Investors Services, LLC
Public Comment James Rabenstine, Vice President, NISC and NSLLC Chief Compliance Officer, Nationwide Office of the Chief Legal Officer, Nationwide Financial Services, Inc. and Holly Butson, Chief Compliance Officer, Nationwide Fund Distributors, LLC, Nationwide Financial Services, Inc.

Last Reviewed or Updated: Dec. 18, 2025

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