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Comments on FINRA Rulemaking
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
(Release No. 34-66819; File No. SR-FINRA-2011-058)
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| Sep. 13, 2013 | FINRA |
| Jun. 4, 2012 | Brant K. Brown, Associate General Counsel, FINRA |
| May 7, 2012 | Daniel Zinn, General Counsel, OTC Markets Group Inc. |
| May 7, 2012 | Michael T. Corrao, Managing Director, Knight Capital Group, Inc. |
Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
(Release No. 34-65568; File No. SR-FINRA-2011-058)
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| Feb. 14, 2012 | Daniel Zinn, General Counsel, OTC Markets Group Inc. |
| Jan. 13, 2012 | Michael T. Corrao, Managing Director, Knight Capital Group, Inc. |
| Dec. 29, 2011 | Daniel Zinn, General Counsel, OTC Markets Group Inc. |
| Dec. 23, 2011 | Stephanie M. Dumont, Senior Vice President and Director of Capital Markets Policy, Financial Industry Regulatory Authority, Washington, District of Columbia |
| Nov. 30, 2011 | Marc Menchel, FINRA |
| Nov. 18, 2011 | R. Cromwell Coulson, President & CEO, OTC Markets |
| Nov. 16, 2011 | Michael T. Corrao, Managing Director, Knight Capital Group, Inc. |
| Nov. 10, 2011 | Daniel Zinn, General Counsel, OTC Markets Group Inc. |
| Oct. 21, 2011 | Naphtali M. Hamlet, Seattle, Washington |
| Oct. 20, 2011 | Suzanne H. Shatto, Seattle, Washington |
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Staff Studies and Reports
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| Jul. 28, 2017 | Memorandum from the Division of Economic and Risk Analysis |
| Jun. 1, 2012 | Memorandum from the Division of Risk, Strategy and Financial Innovation |
http://www.sec.gov/comments/sr-finra-2011-058/finra2011058.shtml
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