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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook
(Release No. 34-73238; File No. SR-FINRA-2014-038)
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| Jan. 27, 2015 | David T. Bellaire, Executive Vice President, Financial Services Institute |
| Dec. 8, 2014 | Afshin Atabaki, Financial Industry Regulatory Authority, Washington, District of Columbia |
| Oct. 24, 2014 | David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia |
| Oct. 24, 2014 | Robert J. McCarthy, Director of Regulatory Policy, Wells Fargo Advisors, LLC |
| Oct. 24, 2014 | Michele Van Tassel, President, Association of Registration Management, New York, New York |
| Oct. 24, 2014 | Kevin Zambrowicz, Managing Director & Associate General Counsel, SIFMA |
| Oct. 24, 2014 | John Astarita and Olivia Darius, Student Interns, and Elissa Germaine, Esq., Supervising Attorney, Pace Investor Rights Clinic, White Plains, New York |
| Oct. 23, 2014 | Kyle Ortiz and Kathryn Hespe, Law Student Clinicians, Michigan State University College of Law Investor Advocacy Clinic |
| Oct. 22, 2014 | William Beatty, President, North American Securities Administrators Association (NASAA), Washington Securities Commissioner |
| Oct. 20, 2014 | William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York |
| Oct. 16, 2014 | Joseph C. Peiffer, Executive Vice-President/President-Elect, Public Investors Arbitration Bar Association |
| Oct. 6, 2014 | Suzanne Shatto, Mountlake Terrace, Washington |
http://www.sec.gov/comments/sr-finra-2014-038/finra2014038.shtml
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