Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 1210 (Registration Requirements)

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Date Received
Date Letter Type Commenter Name
Public Comment Bernard V. Canepa, Managing Director & Associate General Counsel, SIFMA
Public Comment Jessica Giroux, Chief Legal Officer, American Securities Association
Public Comment Karen L. Sukin, Executive Vice President and Deputy General Counsel, PFS Investments Inc.

Last Reviewed or Updated: Aug. 6, 2026

File Number
SR-FINRA-2026-014
Release Number
34-105885
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