Comments on FINRA Rulemaking
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Stay the Effectiveness of Specified Expulsions and FINRA Actions
[Release No. 34-103228; File No. SR-FINRA-2025-004]
| Submitted Comments | |
| Jul. 8, 2025 | Scottsdale Capital Advisors Corporation, FINRA Member Firm |
| Jul. 8, 2025 | Maranda E. Fritz, on behalf of Alpine Securities Corporation |
| Jun. 30, 2025 | Lek Securities Corporation |