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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
(Release No. 34-71786; File No. SR-FINRA-2014-010)
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(Click here for meetings with SEC officials)
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| Comments have been received from individuals and entities using the following Letter Type A: 151 |
| Apr. 24, 2014 | Peggy L. Ho, Chief of Staff Legal & Government Relations, LPL Financial LLC |
| Apr. 22, 2014 | Lance McGinnis |
| Apr. 18, 2014 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Apr. 18, 2014 | Thomas Anderson, Chief Compliance Officer, Cambridge Investment Research, Inc. |
| Apr. 18, 2014 | Brian S. Hamburger, President and CEO, and Daniel A. Bernstein, Director of Research + Development, MarketCounsel, LLC, Englewood, New Jersey |
| Apr. 18, 2014 | Eric Arnold and Cliff Kirsch, Sutherland Asbill & Brennan LLP, on behalf of the Committee of Annuity Insurers |
| Apr. 18, 2014 | Gary A. Sanders, Vice President, Securities and State Government Relations, National Association of Insurance and Financial Advisors (NAIFA) |
| Apr. 18, 2014 | Kathleen A. Dedenbach, Vice President & Group Counsel, Ameriprise Financial Services, Inc. |
| Apr. 17, 2014 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
| Apr. 17, 2014 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Apr. 17, 2014 | Jesse D. Hill, Principal, Government and Regulatory Relations, Edward Jones |
| Apr. 17, 2014 | Ronald J. Kruszewski, Chairman, President and Chief Executive Officer, Stifel Nicolaus & Co. Inc. |
| Apr. 17, 2014 | Nina S. McKenna, General Counsel, Cetera Financial Group, Inc., El Segundo, California |
| Apr. 17, 2014 | Anne Cooney, General Counsel, Morgan Stanley Wealth Management |
| Apr. 17, 2014 | Andrew Daniels, Managing Principal, Business Development, Commonwealth Financial Network, Waltham, Massachusetts |
| Apr. 17, 2014 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, St. Louis, Missouri |
| Apr. 17, 2014 | Brent H. Taylor, General Counsel, Americas and Wealth Management Americas, UBS Financial Services Inc. |
| Apr. 17, 2014 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Apr. 17, 2014 | Richard Foster, Vice President and Senior Counsel for Legal and Regulatory Affairs, Financial Services Roundtable, Washington, District of Columbia |
| Apr. 17, 2014 | Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC |
| Apr. 17, 2014 | Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA |
| Apr. 17, 2014 | Carrie L. Chelko, Esquire, Chief Counsel, Lincoln Financial Network |
| Apr. 16, 2014 | Maria J. Seedner, Corporate Counsel, CUSO Financial Services, L.P. |
| Apr. 15, 2014 | Ann Doty-Mitchell |
| Apr. 14, 2014 | Rick Dahl, SVP/CCO, Sorrento Pacific Financial |
| Apr. 11, 2014 | Michael Finnan |
| Apr. 8, 2014 | Bradford Tharp |
| Apr. 7, 2014 | Vincent Evans, President, The Linnwood Group, LLC |
| Apr. 7, 2014 | David L. Darner |
| Apr. 7, 2014 | Robert Studniarz |
| Apr. 7, 2014 | Timothy Sullivan, Registered Principal, Monarch Wealth and Retirement |
| Apr. 7, 2014 | Joseph C. Peiffer, Executive Vice-President/President-Elect, Public Investors Arbitration Bar Association (PIABA), Norman, Oklahoma |
| Mar. 31, 2014 | Steven B. Caruso, Esq., Maddox Hargett & Caruso, P.C., New York, New York |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| May 1, 2014 | Memorandum from the Division of Trading and Markets regarding a May 1, 2014, meeting with representatives of Sutherland Asbill & Brennan LLP on behalf of the Committee of Annuity Insurers |
http://www.sec.gov/comments/sr-finra-2014-010/finra2014010.shtml
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