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Comments on FINRA Rulemaking
Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales Material
(Release No. 34-57010; File No. SR-FINRA-2007-020)
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| Jan. 18, 2008 | Dorothy M. Donohue, Senior Associate Counsel, Investment Company Institute |
| Jan. 18, 2008 | Dale E. Brown, CAE, President & CEO, Financial Services Institute, Inc. |
| Jan. 16, 2008 | Neal E. Nakagiri, President, CEO, CCO, NPB Financial Group, LLC |
http://www.sec.gov/comments/sr-finra-2007-020/finra2007020.shtml
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