Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .18 (Remote Inspections Pilot Program) 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 the Chair regarding an October 25, 2023 meeting with representatives of the North American Securities Administrators Association
Public Comment Kosha Dalal, Vice President, Associate General Counsel, Office of General Counsel, FINRA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 25, 2023 meeting with North American Securities Administrators Association
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 an October 12, 2023 virtual meeting with representatives of LPL Financial
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, North American Securities Administrators Association
Public Comment Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments
Public Comment Jessica Giroux
Public Comment Jim McHale, Executive Vice President, Head of WIM Compliance and Peter Macchio, Executive Vice President, Head of CIB Compliance, Wells Fargo
Public Comment Sarah Kwak, Associate General Counsel, FINRA
Public Comment Scott C. Kursman, Managing Director and Chief Compliance Officer, Citigroup Global Markets, Inc.
Public Comment Tara Gilchrist, SVP, Head of Branch Exams, LPL Financial
Public Comment Gavin Lucca, Manager, Branch Audit, Commonwealth Financial Network
Public Comment Hugh D. Berkson, President, Public Investors Advocate Bar Association
Public Comment Dee O'Neill, SVP, Head of Branch Examinations, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
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
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 15, 2023 meeting with representatives of the Securities Industry and Financial Markets Association Private Client Services Committee
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, Securities Industry Financial Markets Association
Public Comment Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division
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 Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute
Public Comment Eversheds Sutherland LLP for the Committee of Annuity Insurers
Public Comment Gail Merken, Chief Compliance Officer, Janet Dyer, Chief Compliance Officer, John McGinty, Chief Compliance Officer, Fidelity Investments
Public Comment Mark Quinn, Director of Regulatory Affrairs, Cetera Financial Group
Public Comment Mark Segginger, Chief Compliance Officer, LPL Financial
Public Comment Hugh Berkson, President, Public Investors Advocate Bar Association
Public Comment Karol Sierra-Yanez, Lead Counsel, Broker-Dealer and Investment Advisor Practice Group

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2023-007
Release Number
34-97398
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