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Comments on FINRA Rulemaking
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
(Release No. 34-76148; File No. SR-FINRA-2015-036)
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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: 50 |
| Comments have been received from individuals and entities using the following Letter Type B: 4 |
| Sep. 10, 2021 | Thomas J. Fleming and Adrienne M. Ward on behalf of Bond Dealers Association and Brean Capital, Olshan Frome Wolosky |
| Mar. 7, 2018 | Chris Killian, Managing Director, SIFMA |
| Jan. 9, 2018 | Thomas J. Fleming, Olshan Frome Wolosky LLP, on behalf of Brean Capital LLC |
| Nov. 10, 2017 | Thomas J. Fleming, Olshan Frome Wolosky LLP, on behalf of Brean Capital LLC |
| Jun. 14, 2016 |
Robert W. Errett, Deputy Secretary, Securities and Exchange Commission |
| May 26, 2016 |
Mike Nicholas, Chief Executive Officer, Bond Dealers of America |
| May 2, 2016 |
David H. Stevens, President and Chief Executive Officer, Mortgage Bankers Association |
| May 2, 2016 |
Christopher B. Killian, Managing Director, Securitization, SIFMA |
| May 2, 2016 |
James M. Cain, Sutherland Asbill & Brennan LLP on behalf of the Banks of the Farm Credit System |
| May 2, 2016 |
James M. Cain, Sutherland Asbill & Brennan LLP on behalf of the Federal Home Loan Banks |
| May 2, 2016 | Chris Melton, Executive Vice President, Coastal Securities, Houston, Texas |
| May 2, 2016 | Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia |
| May 2, 2016 | Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters |
| Apr. 27, 2016 | Robert Fine, Chief Executive Officer, Brean Capital, LLC |
| Mar. 1, 2016 | Lauren Eardensohn Sarper, Director, Policy Development, External Affairs, Prudential Financial, Inc. |
| Feb. 17, 2016 | Robert Tirschwell |
| Feb. 11, 2016 | Sen. Tom Cotton, United States Senate |
| Feb. 11, 2016 | David H. Stevens, CMB, President and CEO, Mortgage Bankers Association |
| Feb. 11, 2016 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Feb. 11, 2016 | James M. Cain, Sutherland Asbill & Brennan LLP, on behalf of Federal Home Loan Banks |
| Feb. 11, 2016 | Michael McRoberts, Managing Director, Prudential Mortgage Capital Company |
| Feb. 11, 2016 | Timothy W. Cameron, Esq. Managing Director, and Laura Martin
Managing Director & Associate General Counsel, Asset Management Group, Securities Industry and Financial Markets Association |
| Feb. 11, 2016 | Bruce Sandweiss, Executive Vice President, Gershman Mortgage |
| Feb. 11, 2016 | Roderick D. Owens, Executive Director, Committee on Healthcare Financing |
| Feb. 11, 2016 | Timothy W. Cameron, Esq. Managing Director, and Matthew J. Nevins, Esq.
Managing Director and Associate General Counsel, Asset Management Group, Securities Industry and Financial Markets Association |
| Feb. 11, 2016 | John R. Gidman, President, Association of Institutional INVESTORS |
| Feb. 11, 2016 | Allen Riggs, Chief Financial Officer, Vining Sparks IBG, LP |
| Feb. 11, 2016 | Blake Lanford, Managing Director, Walker & Dunlop, LLC |
| Feb. 11, 2016 | Mike Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia |
| Feb. 11, 2016 | Robert T. Kirkwood, Chief Operating Officer, Lancaster Pollard Holdings, LLC |
| Feb. 11, 2016 | Tony Love, Vice President, Forest City Capital Corporation |
| Feb. 11, 2016 | Steve Wendel, Managing Director, CBRE Inc., Boston, Massachusetts |
| Feb. 10, 2016 | Rodrigo López, CMB, Executive Chairman, NorthMarq Capital Finance |
| Feb. 10, 2016 | Chris Melton, Executive Vice President, Costal Securities |
| Feb. 9, 2015 | Holly MacDonald-Korth, Managing Director, J W Korth & Company |
| Feb. 9, 2015 | Tari Flannery, President, M&T Realty Capital Corporation |
| Feb. 9, 2015 | Matrix Applications |
| Jan. 11, 2015 | David H. Stevens, President and Chief Executive Officer, Mortgage Bankers Association |
| Jan. 4, 2015 | Carl E. Corrado, Executive Vice President, Great Lakes Financial Group, LP |
| Nov. 23, 2015 | Mark C. Unangst, Senior Vice President, Gershman Mortgage |
| Nov. 18, 2015 | Bruce Sandweiss, Executive Vice President, Gershman Mortgage |
| Nov. 10, 2015 | Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers |
| Nov. 10, 2015 | David H. Stevens, President and Chief Executive Officer, Mortgage Bankers Association |
| Nov. 10, 2015 | Mary Kay Scucci, Managing Director, and Christopher B. Killian, Managing Director, SIFMA |
| Nov. 10, 2015 | Robert B. Engel, Chief Executive Officer, CoBank, ACB, Greenwood Village, Colorado |
| Nov. 10, 2015 | Robert Tirschwell, Head of Fixed Income Trading, Brean Capital, LLC |
| Nov. 10, 2015 | American Seniors Housing Association, et al. |
| Nov. 10, 2015 | Timothy W. Cameron, Esq.
Managing Director, and Matthew J. Nevins, Esq., Managing Director and Associate General Counsel, Asset Management Group, Securities Industry and Financial Markets Association |
| Nov. 10, 2015 | James M. Cain, Sutherland Asbill & Brennan LLP, on behalf of Federal Home Loan Banks |
| Nov. 10, 2015 | Dennis G. Morton, President, AJM First Capital, LLC |
| Nov. 10, 2015 | Paul J. Barrese, Sandler O'Neill Partners, L.P., New York, New York |
| Nov. 10, 2015 | John R. Gidman, President, Association of Institutional INVESTORS |
| Nov. 10, 2015 | Stephen P. Theobald, Executive Vice President and Chief Financial Officer, Walker & Dunlop, LLC |
| Nov. 10, 2015 | Robert Cahn, Senior Vice President, Prudential Mortgage Capital Company |
| Nov. 10, 2015 | Robert T. Kirkwood, Chief Operating Officer, Lancaster Pollard Holdings, LLC |
| Nov. 10, 2015 | Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia |
| Nov. 10, 2015 | Charles M. Weber, Robert W. Baird Co. Incorporated, Managing Director and Senior Associate General Counsel, Milwaukee, Wisconsin |
| Nov. 10, 2015 | Robert H. Huntington, Managing Director, Credit Suisse Securities (USA) LLC |
| Nov. 10, 2015 | Matrix Applications, LLC |
| Nov. 10, 2015 | Bernard P. Gawley, Chief HUD Underwriter, The Ziegler Financing Corporation |
| Nov. 10, 2015 | Diane N. Marshall, President, Prairie Mortgage Company |
| Nov. 10, 2015 | James F. Croft, Senior Managing Director, Red Mortgage Capital |
| Nov. 10, 2015 | Jayson F. Donaldson, President, NorthMarq Capital Finance, L.L.C. |
| Nov. 10, 2015 | Robert M. Fine, Chief Executive Officer, Brean Capital, LLC, New York, New York |
| Nov. 10, 2015 | Douglas I. McCree, CMB, President and CEO, First Housing, Tampa, Florida |
| Nov. 10, 2015 | Deborah Rogan, Executive Vice President, Bellwether Enterprise Real Estate Capital, LLC |
| Nov. 10, 2015 | Lee Oller, Senior Vice President, Draper and Kramer Commercial Mortgage Corp. |
| Nov. 10, 2015 | Tony Love, Vice President, Forest City Capital Corporation |
| Nov. 10, 2015 | Doug Bibby, President, National Multifamily Housing Council, and Doug Culkin, President and CEO, National Apartment Association |
| Nov. 10, 2015 | Tyler Griffin, COO, Dwight Capital |
| Nov. 10, 2015 | Steve Wendel, Managing Director, CBRE, Inc. |
| Nov. 10, 2015 | Margaret Allen, Chief Executive, AGM Financial |
| Nov. 9, 2015 | Anthony Luzzi, President, Sims Mortgage Funding, Inc. |
| Nov. 9, 2015 | Matthew Kane, President, Centennial Mortgage, Inc. |
| Nov. 9, 2015 | David F. Perry, President, Century Health Capital, Inc. |
| Nov. 9, 2015 | Jonathan S. Camps, Senior Vice President, Love Funding |
| Nov. 9, 2015 | Richard A Carlson, Chief Financial Officer, Davis-Penn Mortgage Co. |
| Nov. 9, 2015 | Dan Darilek, Senior Vice President, Davis-Penn Mortgage Co. |
| Nov. 9, 2015 | Craig Singer, Managing Director, and James Hussey, CFO, Head of Servicing, RICHMAC Funding LLC |
| Nov. 9, 2015 | David W. Blass, General Counsel, Investment Company Institute |
| Nov. 9, 2015 | Michael S. Cordes, Managing Director, ColumbiaNational Real Estate Finance, LLC |
| Nov. 9, 2015 | Jose A. (Tony) Perez |
| Nov. 9, 2015 | Tari Flannery, President, M & T Realty Capital Corporation |
| Nov. 9, 2015 | Chris Melton, Houston, Texas |
| Nov. 6, 2015 | John O. Moore Jr. (Chip), President , Highland Commercial Mortgage |
| Nov. 6, 2015 | Daniel R. Crain, President, Crain Mortgage Group, LLC |
| Nov. 6, 2015 | Roderick D. Owens, Esq., Executive Director, Committee on Healthcare Financing |
| Nov. 6, 2015 | Keith J. Gloeckl, Chief Executive Officer, Churchill Stateside Group |
| Nov. 5, 2015 | Tony Love, Vice President, Forest City Capital Corporation |
| Nov. 5, 2015 | Pete Hodo, III, Chief Operating Officer & Principal, Highland Commercial Mortgage, LLC |
| Nov. 2, 2015 | Michael McRoberts, Chairman, DUS Peer Group |
| Oct. 29, 2015 | Mortgage Bankers Association, et al.
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Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Jun. 14, 2016 | Memorandum from the Division of Trading and Markets regarding a June 14, 2016, telephonic meeting with representatives of Brean Capital, LLC |
| May 16, 2016 | Memorandum from the Division of Trading and Markets regarding a May 16, 2016, telephonic meeting with representatives of Brean Capital, LLC |
| May 12, 2016 | Memorandum from the Division of Trading and Markets regarding a May 12, 2016, meeting with representatives of the Bond Dealers of America |
| Apr. 18, 2016 | Memorandum from the Division of Trading and Markets regarding an April 15, 2016, meeting with representatives of Nomura |
| Apr. 12, 2016 | Memorandum from the Division of Trading and Markets regarding an April 12, 2016, meeting with representatives of the Federal Home Loan Bank of Atlanta and CoBank |
| Mar. 21, 2016 | Memorandum from the Division of Trading and Markets regarding a March 21, 2016, meeting with representatives of Brean Capital, LLC |
| Mar. 10, 2016 | Memorandum from the Division of Trading and Markets regarding a March 10, 2016, meeting with representatives of FINRA |
| Feb. 29, 2016 | Memorandum from the Division of Trading and Markets regarding a February 29, 2016, meeting with representatives of Prudential |
| Jan. 7, 2016 | Memorandum from the Division of Trading and Markets regarding a January 7, 2016, meeting with representatives of Prudential |
| Jan. 7, 2016 | Memorandum from the Division of Trading and Markets regarding a January 7, 2016, meeting with representatives of the Bond Dealers of America |
| Dec. 11, 2015 | Memorandum from the Division of Trading and Markets regarding a December 11, 2015, conference call with representatives of the Securities Industry and Financial Markets Association Asset Management Group |
| Nov. 25, 2015 | Memorandum from the Division of Trading and Markets regarding a November 23, 2015, conference call with representatives of the Treasury Market Practices Group |
| Nov. 10, 2015 | Memorandum from the Office of Commissioner Kara Stein regarding a November 10, 2015, call with representatives of the Mortgage Bankers Association |
| Nov. 6, 2015 | Memorandum from the Division of Trading and Markets regarding a November 6, 2015, meeting with representatives of the Mortgage Bankers Association |
| Nov. 2, 2015 | Memorandum from the Division of Trading and Markets regarding a November 2, 2015, meeting with representatives of SIFMA |
http://www.sec.gov/comments/sr-finra-2015-036/finra2015036.shtml
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